Management Name : Mr YOUNG JUN LEE | Type of securities : Common share | Methods of Acquisition / Disposition : Sell | Transaction Date : 05/02/2016
Management Name : Mr YOUNG JUN LEE | Type of securities : Common share | Methods of Acquisition / Disposition : Receive | Transaction Date : 28/12/2016
Management Name : Mr YOUNG JUN LEE | Type of securities : Common share | Methods of Acquisition / Disposition : Transfer | Transaction Date : 28/12/2016
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
Mr. Huang Young Lin Mr. Huang Young Lin (หรือ Yong Lin Huang) ประกอบธุรกิจหลักทรัพย์โดยไม่ได้รับอนุญาตตามมาตรา 90 แห่งพระราชบัญญัติหลักทรัพย์และตลาดหลักทรัพย์ พ.ศ. 2535 ซึ่งมีโทษตามมาตรา 289 แห่งพระ
Mr. Huang Young Lin Mr. Huang Young Lin (or Yong Lin Huang) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
Audit Firm Name: Subject : Monitoring Prepared by Date Particulars Reference /Guidance Notes Description A Monitoring the Firm’s Quality Control Policies and Procedures 1 Does the whole firm perform