following funds: (a) a fund which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract; (b) a specified
The Securities and Exchange Commission (SEC) has filed a criminal complaint against the following persons, i.e. (1) STARK, (2) Mr. Chanin Yensudchai, (3) Mr. Vonnarat Tangkaravakoon, (4) {A}, (5
draft prospectus for initial public offering of shares. The SEC's probe found that {X1} Company and {A} did not exercise due care in verifying relationships between the applicant and a company in the case
Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial
found that Bantherngsak gave the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund
information in materiality for client's investment decision making. Following a report on the client's complaint filed by the Ministry of Finance, the SEC further probed into the case and found that {A} gave
Microsoft Word - GSC MD&A 2019_Q4 - Eng 26.02.2020 -Translation- ELCIDGSC003/2020 Date : 26 February 2020 Subject : Clarification on the changes of the year end 31 December 2019 Operating results To