Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)

Project has been initiated under the SEC?s strategic plans aiming to reach out to targeted business sectors, in particular to enable access to capital market for science and creative-based businesses in

material particular, providing an investment analysis or a forward looking statement based on false or distorted data. It is imperative that the persons who give information or opinions to the public be

seeking unfair benefits from investor by taking advantage of her duty performance.  In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the

. 5. In particular the disclosures should, with respect to conflicts of interest, address the priority given to client interests in decision-making; with respect to collective engagement, describe the

upon such information without appropriate professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data A catalogue record for this book is

Mr. Sunthorn Chaononghin On February 22, 2010, Mr. Sunthorn Chaononghin, an engineer of Solartron Public Company Limited (SOLAR), illegally purchased SOLAR shares in such a way as to take advantage

such a way as to take advantage of other persons by using adverse material non-public information concerning LVT net loss in Q1/2010 of 37.65 million baht which was significantly different from LVT net

trading account of Another person in such a way as to take advantage of other persons by using positive material non- public information concerning RPC investment inSammakorn Public Company Limited (SAMCO

accounts in such a way as to take advantage of other persons by using material non-public information concerning the business operation of CMO for Q 2/2012 that he obtained by virtue of his positions before