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
Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that is investing assets of clients in private company bond which violated
of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that is investing assets of clients in private company bond which
notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that is failing to segregate assets under its custody as assets
Company Limited (SSC) shares. The Form 247-4 did not disclose that Mr. Charoen Sirivadhanabhakdi is the controlling person of SSNL who provides funding for SSNL’s tender offer of SSC shares. SEC Act S
person as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for protecting the client’s asset that are (1) failing to
accurate tender offer report (Form 247-4) of SSNL’s holding of Sermsuk Public Company Limited (SSC) shares on October 28, 2010. The Form 247-4 did not disclose that Mr. Charoen Sirivadhanabhakdi is the
that Mr. Charoen Sirivadhanabhakdi is the controlling person of SSNL who provides funding for SSNL’s tender offer of SSC shares, Mr. Sakchai Thanaboonchai certified the completion and accuracy of the