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investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
Market Supervisory Board hereby issues the following regulations: Clause 1. In this Notification: The terms “institutional investor” and “high net worth investor” shall have the same meaning with such
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (General Case) Authority: the Office of the Securities and Exchange Commission (public agency) Rules
phone, the investment consultant must keep complete record of those orders as evidence for examination and source of orders. In this regard, the SEC urges the clients not to assign the investment
material and likely to affect the client's benefits.Following the complaint lodged by client and examination report of Bangkok Bank Plc., the SEC further probed into the case and found that the client
types (1) The mutual fund management company shall establish a system for examination of purchase or redemption of investment units by unitholders. (2) The mutual fund management company shall not pay a
Section 58 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), the SEC has instructed NUSA to clarify the following matters: 1. The action plan for NUSA to support liquidity or the ability to repay
Crown Tech Advance Public Company Limited (AJD), (currently renamed as AJ Advance Technology Public Company Limited (AJA)) and their associates, totaling four entities, namely: (1) Mr. Amorn Meemano, (2