negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
to disclose information related to the arrangement of reserves in a manner that is accessible to the public; and (3) mutual fund supervision will primarily take into account unitholders’ benefits, with
comply with the requirements accordingly. Sincerely -signature- (Mr. Vorapol Socatiyanurak) Secretary-General Intermediaries Supervision and Development Department Telephone: 0-2263-6255 Fax: 0-2263-6446
comply with the requirements accordingly. Sincerely -signature- (Mr. Vorapol Socatiyanurak) Secretary-General Intermediaries Supervision and Development Department Telephone: 0-2263-6255 Fax: 0-2263-6446
comply with the requirements accordingly. Sincerely -signature- (Mr. Vorapol Socatiyanurak) Secretary-General Intermediaries Supervision and Development Department Telephone: 0-2263-6255 Fax: 0-2263-6446
compliance supervision throughout the approval period of the auditor. Sincerely, (Signature
compliance supervision throughout the approval period of the auditor. Sincerely, (Signature
approved before 1 Janurary 2018) Regulations Guidelines Regulatory Summary SHARE : For More Information ContactUs Sales Conduct Supervision Department Tel. +66-2263-6134 Was this page
Exchange Commission Assistant Secretary-General, Fund Raising Supervision Acting Director, Corporate Monitoring Department Director, Investment Management Policy Department Director Investment
approved before 1 Janurary 2018) Regulations Guidelines Regulatory Summary SHARE : For More Information ContactUs Sales Conduct Supervision Department Tel. +66-2263-6134 Was this page