misappropriated the client's subscription cash payment of 500,000 baht for his own use. He then ordered his subordinate to transfer units of another mutual fund held by the same client into the solicited fund by
. In addition, the SEC has recommended the ASCO to revise its KYC/CDD guidelines as well as propose the guidelines for securities transfer between clients so as to prevent fraudulent activities or
the transfer of such securities to the account; but found out that such securities were all transferred and sold by such client. {A} then asked other two friends, who were clients of other securities
in the category of mutual fund management and having already started the business; (2) not being a person or having relationship or having interest with a person who will dispose of, transfer, lease or
20th Floor Capital Tower All Seasons Place 87/1 Wireless Road Bangkok 10330 https://www.sec.or.th/EN/Documents/ActandRoyalEnactment/RoyalEnactment/enactment-digitalasset2018.pd... PowerPoint Presentation
only the original Thai text has legal force and that this English trans property fund; (2) the advertisement must be made in print or electronic media; (3) presentation of the estimated return or the
Presentation สื่อ และกิจกรรมให้ความรู ้ส าหรับกลุ่มเป้าหมาย เกี่ยวกับความรู้ด้านการ วางแผนการลงทุน ผลิตภัณฑ์การลงทุน (Traditional product และ Digital asset ) และกลโกง การลงทุน B. เสริมสร้างความรู้ด้านตลาดทุน
presentation of the total amount may be asset category-based, not item-or company https://publish.sec.or.th/nrs/7037pe.doc Translation by the company etc.. 2.5.2 Premises and equipment expenses means