channels to unitholders because the fund’s annual report has already been required to be sent to unitholders and published on asset management companies’ websites. Also, the rules on fund manager training

. Investors should object to any trading activities that do not comply with their investment objectives and monitor regularly the ongoing record of their trading transactions sent to them by the responsible

’ meeting and other related documents may be sent electronically.At the same time, SEC is setting out a clear guideline for determining in which cases asset management companies may seek an approval from

Earlier, Mr. Suphanan acting on behalf of IFEC sent a letter requesting the DBD to reveiw its order denying the registration of Mr. Wiphu Maharakkhaka and Mr. Manusak Deawwanich on IFEC directors

Disri refused to comply, which reflected their unwillingness to settle the case with the SEC at this stage. The SEC, therefore, sent a written request to the public prosecutor to file a lawsuit against

bank accounts of nine persons, namely Pataman, Supichaya, Meesak, Apinunthakan, Tepparit, Tree, Phawit, Siriya, and Chanatip.  Trading from these accounts were sent and matched within the group in the

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent

, regular review of documents and evidence on one?s own investment portfolios sent from the responsible intermediaries is another way to protect one?s own assets.? ______________________ *Clause 20(1) of

received the report from Siam City Securities Co., Ltd., on its investigation into misconduct of Meaunchit who had sent trading orders of other individuals through her clients? accounts without such clients

that Sagha Sakulekpaisan (former name: Chakchai (Thana) Sae Jiem, also known as ?Here-Tee") had sent, through the accounts of eight persons, trading orders of FOCUS shares during April 24-25, 2008, IFEC