’ meeting on the said date in which the meeting had resolved to call for an Annual General Meeting of Shareholders for 2024. Even so, NUSA has yet to inform the SEC on the change of the 3 new directors in
indicating that {A} sent trading orders and afterwards informed his client's authorized person. Such authorized person did not reject the transactions. From the record, in addition, {A} specified details of
Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of
Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of
provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading
redeemed the investment units of Bualuang Long-Term Equity Fund (B-LTF) as suggested by the bank's officers The redemption was in breach of a condition on investment unit holding period of at least 5
performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
fund or private fund management, or derivatives investment management company. “fund” means mutual fund and private fund. “investor” means any person interested in investing in capital market products