at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false

requirements. Digital assets which will be traded in exchanges are required to follow the listing rule of exchanges which must be approved by SEC Board.Any digital asset trading within the digital asset

. The current rules require both the issuers as well as all affiliates that engage in the main business of a group of companies to meet the qualifications and disclose information in the Filing Form

the Registration Statement and Draft Prospectus (“Filing”) is required by the SEC prior to the offering of such securities;  (2) Set the criteria for the Filing submission by using Form 69-1 as in the

Management Name : Miss ROONGRAWEE IAMPONGPAITOON | Type of securities : Warrant | Methods of Acquisition / Disposition : Sell | Transaction Date : 01/06/2016

and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and

information in materiality for client's investment decision making. Following a report on the client's complaint filed by the Ministry of Finance, the SEC further probed into the case and found that {A} gave

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and

Sheet were as follows: 1. Total assets increased 146,215,807 baht compared to the last year due from the initial public offer of the new issued shares and the Company has not yet invested as declared in

. Total assets increased 150,182,697 baht compared to the last year due from the initial public offer of the new issued shares and the Company has not yet invested as declare in prospectus. The Company has