. EUROPEAN COMMISSION PRINCIPLES OF PUBLIC OVERSIGHT DIRECTIVE 2006/43/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL OF 17 MAY 2006 CHAPTER VIII Article 32 Principles of public oversight 1. Member States
Investment Fund Managers Directive (AIFMD) ซึ่งมีผลบังคับใช้ตั้งแต่ วันที่ 22 กรกฎาคม 2556 เพื่อการกำกับดูแลบริษัทจัดการลงทุนที่จัดการหรือเสนอขายกองทุนใด ๆ ซึ่งมิได้เข้าข่ายเป็น UCITS โดยหลักเกณฑ์ดังกล่าวจะส่ง
interim financial statements to the SEC by 15 September 2025. CHARAN was also required to disclose these financial statements to the public via SETLink within the same deadline. The instruction was issued
appoint new directors to fill vacancies while serving as IFEC director and chief executive officer. In addition, the SEC investigation found that Mr. A disobeyed the board of directors’ instruction and
’ instruction and refused to facilitate a meeting venue for the board of directors’ meeting. Such misconduct was therefore deemed as the failure to perform his duties as a listed-company director and executive
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
her client regularly as well as reported to her client on the summary of profit and loss on a monthly basis. On March 12, 2012, {A} made trading decisions without the client's instruction and payment
such as games, counseling service, survey and instruction on Mobile App ?start-to-invest?. Those who download Mobile App ?start-to-invest? and show up at the booth will also be given a souvenir. The SEC
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
, could pose risk to the client. She also disregarded her client?s instruction and continued her improper actions. The SEC, therefore, suspends Kruawan from the status of approved investor contact for one