highest legal penalty. The SEC has sought the Court’s ruling (1) to impose a civil fine worth 1,000,000 baht on {A}, (2) to prohibit {A} from securities trading or entering into derivatives contracts for
documents and evidence for auditor. In addition, AIE and AI sought for an extension of deadline to submit the Q1/2015 financial statements from May 15, 2015 to the completion of their rectified 2014 financial
without any objection. Meanwhile, in the latter period, he sought approval from the clients on the broad pre-determined price ranges of derivatives and securities. Accordingly, he could immediately execute
resolution could be sought only when at least half of the total number of unitholders attended the meeting or returned the letter.Asset management companies must receive at least 50% of the total votes of
lawsuit against Surin in the Civil, pressing for civil sanctions with the highest legal penalty. SEC has sought the Court’s ruling to require Surin to pay a civil fine, compensate the benefits received
forms and depositor signatures of her clients. Nuchanart later confessed to TMB in writing that she had committed frauds against her clients’ assets and had sought undue benefits for herself at an
) dishonestly diverted company assets to himself or a third party and sought unlawful gains for himself or others, causing damage to WORLD at the total amount of 30 million baht. Ms. Hongsri rendered assistance
capacities of an investment consultant and private fund manager without obtaining the necessary license. In this context, he sought public engagement regarding the value of securities and the suitability of
the 11 investment consultants were deemed a failure to perform duties or provide services honestly as they sought to gain personal benefits from investors through their job operation, or a violation of
been well-aware of this urgent agenda and therefore sought collaborative actions from all parties under the project ?Financial Literacy: Road to Thailand?s prosperity? to kick off the first financial