improvements of certain areas in T.U. Dome Fund assets, which was, however, incorrect and caused damage to the Fund. Furthermore, they falsified documents and evidence concerning money withdrawal to mislead

fraudulent acts and the receipt of a certain amount of bill of exchange (B/E) sale money. This case is under consideration of the public prosecutor. SEC Act S.307 308 311 312 in conjunction with 315 and

and (2) Mr. Sunchai Intarauksorn, former deputy managing director and executive director, in executing certain financial transactions through her own bank account. This case is under consideration of

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record

executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr. Krittiphat, Mr. Sunchai , Mr. Teerasit and Mr

KC Board of Directors, assisted in executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr

aspects and were certain that the nature and scope of the non-audit services provided to their audit clients would not jeopardize their independence. 18 Securities and Exchange Commission, Thailand The

All 4 past returns.5 With data on each fund’s holdings of individual stocks, we can compute the value- weighted, fund-level systematic risk loading, which we refer to as the holding-based fund beta

raising activities both in equity and debt securities including the details of the fund mobilizers by industry, companies and individual instruments.SEC has been continuously developing the open data

principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance