submitted a selling order for the first client?s investment units and deposited money obtained from the selling into a saving account she opened at Tisco Bank Plc., using the client?s signature that she had

business, not having records of contravening or failing to comply with the criteria for offering securities in substantive matters.   1.3  Having obtained a clear resolution on approval for the capital

://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 63/2023 Dated 21/06/2023 ") control system which is the persons not appointed from Finnomena or obtained an approval from SEC Office performed

in the units of a property fund or an infrastructure fund may be made; (5) investment in the units of a mutual fund for which the intermediary has obtained a permission from the SEC https

infrastructure fund may be made; (5) investment in the units of a mutual fund for which the intermediary has obtained a permission from the SEC https://publish.sec.or.th/nrs/6497pe_r.pdf -ร่าง- maturity; (4

securities business operators, derivatives business operators or digital asset business operators who have not obtained a respective license, as well as foreign digital asset business operators. This is

information in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that

prevent mutual funds from being exploited for any other benefit than those which ought to be obtained from the investment. At present, the number of investment units held by any person or any associated

License. In any case, business operators who have already obtained PF License may request Derivatives Fund Manager License, free of charge.    _____________________

manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions