been received from committing the offenses.* However, they all refused to comply with the civil sanction, which was deemed an indication of their disagreement to settle the case directly with SEC
have been received from committing the offenses.* However, they all refused to comply with the civil sanction, which was deemed an indication of their disagreement to settle the case directly with SEC
of information; (3) providing appropriate channels, procedures and period of time for clearly demonstrating objection. 1 Whereas this Section prohibits a trustee from entering into a transaction
such orders, paid the subscription money and accepted redemption money without making any objection. The total accumulated trading value was more than 800 million baht. The misconduct above led to the
Letter to Appoint Agent for the Proceedings Report/Form (Notification of Securities and Exchange Commission) Form OrYo.3 Objection for the Dispute Report/Form (Notification of Securities and Exchange
partial investment, granting the right of objection on material issues to REIT, having guidelines to resolve conflicts between REIT and investment partners, and providing a statement of opinions on
some clients. All the said clients acknowledged trading transactions without any objection. Besides, Napat received several trading orders from the persons not the owner of the securities trading
without any objection. Meanwhile, in the latter period, he sought approval from the clients on the broad pre-determined price ranges of derivatives and securities. Accordingly, he could immediately execute
Securities Company Limited, had made trading orders before informing the client who did not make any objection and made payments for the trading transactions. The trading activities involved shares and