not submitting the latest annual financial statements within the specified period, the SEC will calculate the annual fee based on the shareholders’ equity presented in the previous annual financial
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case of REITs and Infra Trusts, a trustee must notify the trust manager of their resignation not less than 90 days in advance. The trust manager must notify the public by Electronic Company
and submit the findings and views to public prosecutor who has authority to prosecute the case against the offenders. The consideration of whether person is guilty or not is thereafter vested on the
ก.ล.ต. เปิดรับฟังความคิดเห็นร่างประกาศเกี่ยวกับการดำรงเงินกองทุนของ บลจ. ที่จัดการกองทุนรวมอสังหาริมทรัพย์และโครงสร้างพื้นฐาน ผู้จัดการกองทรัสต์ หรือทรัสตี
benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a
be inconsistent with the intention of the regulations whereby a misdemeanor, an insignificant act or any wrongdoing not directly involved with the issuer’s core business shall be excluded. Given the
trading period to be inconsistent with normal market conditions to mislead other persons that CHUO shares were in high demand at the time and lure them to trade such shares accordingly. His offense was in
: (1) being a gold trader for not less than 3 consecutive years and being a member of the Gold Traders Association, the Thailand Gold Retail Club or other organizations recognized by the SEC Office; (2