investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he
Bangkok, June 13, 2014 ? The SEC is seeking public comment on rule revisions on subscription, underwriting, and allotment of newly issued securities and securities underwriting. The revisions aim at
Phillip Asset Management Company Limited Phillip Asset Management Company Limited had duties to prepare and submit the Daily Subscription and Redemption Report of Mutual Fund (“Form A-2”) to the SEC
substantial damages to SECC by (1) embezzling Baht 42 million from SECC share subscription account, (2) misappropriating 25 customers’ car registration certificates, and (3) conspiring with another person to
scription Agre cute, amend, necessary a mmission, the vant authoritie orization; e any necess on. accordingly. wai e subscription nd of Decemb ernal control ter the enterin having 5 direc ard of Directo zed
Exchange of Thailand, at an amount not less than 65 percent of the net asset value and the subscription limit is 200,000 baht based on the actual subscription amount. This special SSF limit is separate
shall be terminated. Following actions are required: 1) Inform the SEC of the case within 15 days from the closing date of the IPO; 2) Refund the subscription payment and any interests thereof within
Section 23/4, when an employee’s membership terminates on a cause other than the dissolution of the fund, the fund manager shall make payment out of the fund to the employee in accordance with the rules and
(Record Date) on February 23, 2018, and the subscription date and the date of payment for the newly issued ordinary shares on March 20 – 26, 2018. Details on the allocation of the newly issued ordinary