to trade securities in the client?s account on the client?s behalf without having to give prior notice. Despite the client?s cancellation of such authorization afterward, Pracha continued trading

the SEC?s prior approval.?

mutual funds are allowed to invest, requiring asset management companies to notify investors prior to raising fees or expenses, waiving the limitation rule on unitholding over one third when certain

determine the number of shares for conversion prior to the offering of instruments. In order to provide investors with sufficient information, moreover, intermediaries and selling agents must apply the

than such specified age. Furthermore, the findings showed that Nakul had not properly conducted cadastral survey of land and inspected the building structures and renovation records prior to Montri Fund

conjunction with Section 33 and subject to the penalties under Section 268 of the SEA. The Criminal Fining Committee therefore ordered him to pay a civil monetary penalty of 500,000 baht. Prior to the orders of

every account had never been used to trade KARAT shares prior to Apichart?s holding a position of legal counsel for this business deal. The record showed that trading of KARAT shares through those

person. In this regard, the business operator must consider the qualifications of the applicant in line with the governing regulations prior to submitting the application via SEC’s auto approval system

by requiring the auditors to obtain prior approval from SEC. In addition, the auditors must be associated with the audit firms recognized by SEC. The auditors, however, shall not be director, manager

must make a prior agreement with the clients the asset allocation or the investment planning services and parameters set in advance which are based on house view. In addition, the intermediaries must