perform duties or provide services with honesty and good faith. Specifically, (1) he requested and used client’s mutual fund trading account to conduct investment transactions in mutual funds under the
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
301.92 Million Baht from 327.37 Million Baht or 7.77%, due to less or pending projects from oil and gas companies resulting from slowdown economy. 2. Our net loss before tax is 23.97 Million Baht
for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The case was deemed final. On April 10, 2018, the
fine. The jail term was suspended for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The case was
Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri
2,666,666.67 Baht fine. The jail term was suspended for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The
(urgent case), effective since 11 March 2019. The SEC views that since IFEC Board of Directors is now eligible to form a quorum, the company should be able to proceed and seek solutions for the pending
are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct