to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that Zipmex has been failing to report a summary of the assignment of other persons to perform

readiness of upcoming market competition among securities companies and yet allow sufficient time for self-preparation to expand business capabilities and diversification of revenue sources other than

assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth

to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product

assets of the company Transaction size can be calculated as follows 46,441,350 x 100 = 14.078% 329,886,000 The company has a duty to prepare an information disclosure report of the disclosure to the Stock

as capital market personnel for the period of one year; Suspension of {H} from performing duty as securities investment consultant for seven months.{A} and {B} served as the executives of Country Group

sukuk has the duty to file with the SEC Office under the Notification of the Capital Market Supervisory Board Re: Provisions on Issuance and Offer for Sale of Sukuk and Disclosure of Information. Clause 9

orders from such person who was not the account owner or an authorized person without advising the account owner to assign authority properly according to governing regulations, and calling the other

international standards on combating money laundering and the financing of terrorism & proliferation as recommended by the Financial Action Task Force (FATF), thereby removing Thailand from the blacklist of

manager wishes to assign other persons to perform duties under its responsibilities, such matter and the duty of the REIT manager to select such assignee with due care and to supervise and examine the