asset management companies to authorize persons to mornitor and control mutual fund. The persons performing the duty must have the qualifications as follows(1) Be independent from the asset management
accounts with permission of the account owners. However, the account owners did not authorize those persons in writing.Trading securities and derivatives on behalf of clients and receiving orders from any
were subject to civil sanctions under Section 296 of the SEA, as amended, too. The Civil Sanction Committee has resolved to authorize SEC to initiate a civil sanction proceeding against Chantip
of transactions, and to handle transactions by themselves or authorize another person to withdraw money in person every time to reduce the chance of damage impact. _____________________________Remark
) in conjunction with Section 244 (4). All three are liable to the penalties under Sections 296 and 296/2 of the SEA. The Civil Sanction Committee has resolved to authorize SEC to initiate civil
conjunction with Section 83 of the Penal Code. The Civil Sanction Committee has resolved to authorize the SEC to initiate civil sanction proceedings against the 13 offenders, requiring each to pay civil penalty
billion baht, and to authorize NUSA’s Executive Board to consider the sale conditions for each asset. On 28 December 2023, NUSA informed the SEC that the company had not yet entered into any contracts to
? account to authorize securities transfers to the accounts of her related persons. In so doing, she filled in her own telephone number on the securities transfer form as the transaction confirmation number