Exchange Act B.E. 2535 (1992) (SEA), the Settlement Committee therefore imposed a fine on him in the amount of 500,000 baht.As for Olarn?s insider trading case, the SEC had obtained the referral from the
authorization that {A} had obtained to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants can send trading orders only when obtaining instructions from
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
Translation Management Discussion and Analysis for Interim Business Operations Financial Performance for the period ended M arch 31 , 2020 (Unit : M ill ion Baht) 2020 2019 Inc. / (Dec.) % (Re st at
Board concerning Rules on Personnel in the Capital Market Business . Clause 3 It shall be deemed that a derivatives intermediary has obtained an approval from the SEC Office to appoint a person to be
concerning Rules on Personnel in the Capital Market Business. Clause 3 It shall be deemed that a derivatives intermediary has obtained an approval from the SEC Office to appoint a person to be director or
director with power of management to the position of director without power of management, it shall be deemed that the securities company has already obtained the approval from the SEC Office. In this regard
, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1
obtained approvals in implementing the transaction which are required rules and regulations of the regulatory agency. 6 No. Topics Details 6. Compulsory conditions after the transaction 1. The Company and
’ patient management system with the use of technologies and innovations to enhance service efficiency for greater convenience of patients through alerts for their appointments with physicians, queuing, and