suitability for investment and the relevant risk exposure. If you are in any doubt as to the action you should take, you should consult your legal, financial, tax, or other professional adviser. A copy of this
Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the
(56-1 One report). Moreover, there will be a forum for exchange of opinions called CEO Dialogue which intended to create a policy commitment of the board of directors and executives on cultivating
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
in accordance with international standards. One of the achievements during the year was the overall result of the Thai capital market assessment under the Financial Sector Assessment Program, a joint
instruction of the SEC, such kind of debt could not be legally recorded in the financial statement in accordance with the applicable accounting standards. In addition, one of the appointed legal advisor was
. Facilitating payments out of the fund: e.g., allowing the registrar to order dissolution of the fund including a withdrawal of one employer from a pooled fund, allowing the fund manager to make a payment to an
should not hold any position in another business of the same kind or a competitor company. The shareholders shall have basic rights including the right to receive dividends, the right to attend
commitment; (2) The specified procedures are practical and fair to all unitholders. The conditions can be in one or more of the following cases: (1) It is specified that the fund may generally make a