Bangkok, February 15, 2012 ? The SEC has revoked approval for Maris Tarab and Burim Chombhubol as fund manager and prohibited them from re-entering the industry for 10 years, starting from February 14, 2012. The sanctions followed the SEC findings that the said persons mismanaged T.U. Dome Residential Complex Property Fund (T.U. Dome) severely, causing substantial damage to the fund and the unitholders. Maris and Burim, who were T.U. Dome fund managers during 2006-2009 and 2008-2009 respectivel...
The ASEAN CIS Framework is an initiative under the regional capital markets integration plan endorsed by the ASEAN Finance Ministers in 2009 to facilitate cross-border product access and fund distribution for investors and issuers respectively. The framework enables fund managers operating in a member jurisdiction to offer a CIS constituted and authorised in that jurisdiction to retail investors in other member jurisdictions under a streamlined authorisation process. The Supplemental MoU t...
needed for its business model. This approach could support future entry of all types of securities businesses and increase the number of intermediaries who could render more convenient services to
Re: Application Form for Permission for Offer for Sale of Newly Issued Debt Securities and Reporting (No.2)
found that he had been authorized to trade securities on behalf of the client. He had also used his client's account to trade securities for the benefit of himself with one day permission and credit line
their profession duties with loyalty* by making unauthorized investment without client’s permission, and order or consent on making fake documents. While {B} failed to properly discharge his
. registration with Food and Drug Administration (FDA), trademark permission, product and packaging design, and brand building etc. to customers who are business operator in skin cares and cosmetics. In addition
, unless permission has been granted by the Office to open or close its office at any other hours or days.
Government Bond Which Deemed as the Connected Transaction 27/07/2021 17:07 Notification of Board of Directors' Resolution Regarding Entry into Acquisition of Assets from S.W. & Sons Co.,Ltd.(Revised) 16/07