Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
effective system for protecting the client?s asset that are (1) failing to segregate assets under its custody as assets of clients in accordance with the notification and (2) investing assets of clients in
account that Mr. Yanyong provided for them, in such a way as to take advantage of other persons by using material non-public information concerning increasing value of Pluto LNG Project from additional cost
. Yanyong provided for them, in such a way as to take advantage of other persons by using material non-public information concerning increasing value of Pluto LNG Project from additional cost (Baht 2,212
, in May 2017, that the estimated cost of PPC&PPE project was relatively different to the actual cost. That led to SRICHA experienced the net loss of 93.32 million Baht in the 2nd quarter of 2017
-W1 during the period that CIG-W1 had high cost and almost expired and eventually were all sold out during low price period. The said actions were in violation of Section 311 of the Securities and
during the period that CIG-W1 had high cost and almost expired and eventually were all sold out during low price period. The said actions were in violation of Section 311 of the Securities and Exchange Act