and fund supervisor as well as investment requirements. The offering of ASEAN CIS will be made through securities companies in Thailand and in compliance with disclosure rules comparable to the
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
. Dome Fund to pay 10.4 million baht to Bania. It was claimed that the payment was made for the turnkey contract of construction and improvements of certain areas in T.U. Dome Fund assets, which was
management system must be made and reviewed on a continual basis. ?The SEC and the AIMC have continual cooperation to lift up the standard of Thai investment management business to comply with the
complaints lodged by a certain number of EPCO shareholders informing that they had not made the letters of intent to decline the tender offer which were attached to Form 247-4. After the SEC?s review of the
well as other social media, to invest in securities or futures. The solicitation was made with a promise to manage investment to achieve high rate of returns within a short period of time, providing that
required. Moreover, certain criteria will be applicable to the business operator such as (i) outsourcing policy and arrangement must be made in writing; (ii) contingency plan must be in place for the case
does not provide such investment policy, investment or seek of benefits must be made under investment policy stated in the fund?s article. If, however, there is no investment policy stated in the fund?s
Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume. He