person who has authorized the management of the private fund using knowledge and competence as a professional. SEC Act S.134 paragraph 2 and paragraph 3 in conjunction with 133 paragraph 1 Criminal
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
Company Limited ("IFEC"), acquired the knowledge from the Board of Directors Meetings No. 11/2016, held on 1 November 2016, that IFEC faced a problem with insufficient cash flow to pay off its
("PHOL"), sold ordinary PHOL shares via his nominee's securities account, which led to the changes of such shares holding. He filed the report (Form 59-2) to the SEC Office on July 14, 2021
("PHOL"), sold warrants to purchase the ordinary PHOL shares (PHOL-W1) via his nominee's securities account, which led to the changes of such shares holding. He filed the report (Form 59-2
EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH
experienced experts to render financial knowledge and advice as well as manage portfolios suitable for different clients’s profiles via three websites: www.giltedgeintl.com www.on-t3-line.com and www.online-t3
experts to render financial knowledge and advice as well as manage portfolios suitable for different clients’s profiles via three websites: www.giltedgeintl.com www.on-t3-line.com and www.online-t3.com In
and management to earn tax benefits and long-term returns. Gilt Edge also advertised that the company had a team of professional and experienced experts to render financial knowledge and advice as well
safeguard the interests of the clients who entrusted the management of their private funds, using knowledge and abilities comparable to professional practitioners. This case is in the process of inquiry by