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
Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory
and fund supervisor as well as investment requirements. The offering of ASEAN CIS will be made through securities companies in Thailand and in compliance with disclosure rules comparable to the
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
Graduate Institute of Business Administration of Chulalongkorn University B.A. (International Economics), Thammasat University CFA Institute Chartered Financial Analyst, awarded in 2000 and a current charter
of Securities and Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2 . In this Notification: “Fund supervisor” means the mutual
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual