confession that she had misappropriated the client’s money and used it for her own benefit at the approximate amount of 2.5 million baht. SEC has considered that Sunisa failed to perform duties or provide
Pursuant to the proposed amendments, the fee for undertaking a derivatives exchange business would be determined at the rate of 0.05 baht per contract per side for trades executed within the
Register of persons qualified to be fund manager Please wait... Register of persons qualified to be fund manager Export Excel No. List of Fund Managers Type of fund manager MF DF Approval date
had disclosed the fair values to replace the report produced by the hired EY included the value of coal not represented in the estimate amount of coal to be produced during the concession period in
must not have behavior showing any objectives to engage in investment advisor business and must be registered with SEC. Even though the investment planners are waived in this matter, they are required
seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
/2019 on May 10, 2019, therefore, approved this joint project with the SET whereby IAA will be the project manager and qualified securities companies will produce more securities research reports on small
documents in order to lure the investors into believing that their subscription transactions had been executed and recorded when in fact Napasook did not use the money to subscribe for the fund units as
will be effective in 2021. SEC has made the public hearing document available at https://www.sec.or.th/hearing. Related persons and interested parties may express their comments on the website or
of December 2020. In any case, to be eligible for the waiver or the rate cut of annual fee, the securities issuers must not have a record of criminal fining or criminal complaint for failure to