or giving any advice to the client, he signed such selling order form in the capacity of an investment consultant. In addition, he neither examined the transaction nor requested for additional

Seamico Securities Public Company Limited (“The company”) would like to report operating result that has been examined by our auditor for the first quarter ended March 31, 2018 as follows: The consolidated

the type specified in the license only after the SEC Office has examined and viewed that the licensee can demonstrate its possession of: (a) good https://publish.sec.or.th/nrs/7307pe.doc <

executive status, effective on October 15, 2008.2. Sonthaya Mounmiang (one-year probation): Following the investigation report from her employer securities company, the SEC examined the case and found that

brokerage firm stating that {C} sent trading orders through client's account without evidence of trading orders from client. The SEC investigated on the case and found that there were trading orders in

of the CIS Operator. The person who signs shall state his/her full name and capacity, and shall ensure the declaration is dated.) “I have duly examined the information contained in this registration

company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and

information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and accuracy of orders, and can be

management company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for

the applicant no longer intends to have the characteristics of such units of foreign ETF examined by the SEC Office. Clause 6 The SEC Office shall announce the list of units of foreign ETF which have