had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
order form (Form F8) despite the fact that those trading orders were made via mobile phone. Use of Form F8 therefore was inappropriate submission of trading orders because such Form must be used in
Holding Company investing in retail business such as mobile phone distribution and accessories, non-performing debt management, real estate development, hire purchase (associated company), personal loan
10,000,000 Debentures No. 9/2018, Class 1 PP-10 21 Dec 18 20 Dec 19 10,000,000 Debentures No. 9/2018, Class 2 PP-10 27 Dec 18 26 Dec 19 30,000,000 Guaranteed Debentures No.1 / 2018 II&HNW 6 Jul 18 6 Jul 20
defaults of debt instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed
were persuaded to make an investment at the minimum amount of 100,000 baht to earn 5 percent return in six months.Both companies promised to repay the principal and generate the guaranteed returns
information for investment decision making such as condition of non- guaranteed by the Ministry of Finance, source of fund for debt repayment and business nature for risk assessment. Like private issuers
additional rules regarding ICO advertisements. Essentially, such advertisements must refrain from enticing or pressuring investors into uncareful investment decisions. Moreover, they must not imply guaranteed
of rules Additional rules for guaranteed funds Additional rules for a retirement mutual fund (RMF) Additional rules for foreign investment funds (FIFs) Additional rules for country funds Additional
Additional rules for guaranteed funds Additional rules for a retirement mutual fund (RMF) Additional rules for foreign investment funds (FIFs) Additional rules for country funds Additional rules for long term