and (2) Mr. Sunchai Intarauksorn, former deputy managing director and executive director, in executing certain financial transactions through her own bank account. This case is under consideration of
acknowledged the existence of such event; or (4) the rejection to sell an investment unit under an order which has been accepted or the suspension of accepting of purchase orders to a certain investor is due to
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
KC Board of Directors, assisted in executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr
executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr. Krittiphat, Mr. Sunchai , Mr. Teerasit and Mr
trainings. Executive summary 2 On the engagement-level inspections, the SEC has detected deficiencies in certain audit areas such as audits of revenue cycle and substantive analytical procedures. We have
7 Ju ly 2011. Restricted (R) : In certain circumstances, Credit Suisse policy and/or applicable law and regulations preclude certain types of communications, including an investment recommendation
in a shareholders' meeting 17. Dividend payment 18. Fees 19. Procedure for dissolution of mutual fund 20. Relaxation of rules 21. Additional rules for guaranteed funds 22. Additional rules for a
contain certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and Section 64 of