investment goals. This may lead to multiple financial products in the investors' portfolios but insufficient solutions to the investors' long-term financial well-being. The SEC is proceeding with a strategic
, strategies and beliefs and other statements that are not historical facts. These statements can be identified by the use of forward-looking terminology such as “may”, “will”, “expect”, “anticipate”, “intend
statements with respect to our corporate plans, strategies and beliefs and other statements that are not historical facts. These statements can be identified by the use of forward-looking terminology such as
fund supervisor, the former fund supervisor shall proceed as necessary to ensure that the new fund supervisor can continue duty performance. In this regard, such proceeding shall include signing in the
SEC Office. (Reasons for seeking an exemption are required for the SEC Office's consideration). 4.5 Having not been accused of or subject to criminal proceeding, whether under Thai or foreign laws
on which the advice is given or order is placed, as the case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been
characteristics as follows: (1) having deficiency in legal competence or having been subject to any legal proceeding under the law governing capital market or having untrustworthy characteristics as specified by
case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been completed within such period, the record of such advice