performance to prove that the fund manager’s responsibilities for overseeing and managing the fund as required, This is not in accordance with the work system that notifies the office before requesting to start
applicant shall prove that such redemption will not impact the trust’s viability. Clause 17 The trust shall have a minimum capital of 10 billion baht, calculated from the expected paid up capital after the
so that the SEC can take further actions. The SEC Secretary-General Thirachai Phuvanatnaranubala said: ?It is unfair to accuse the SEC of discrimination when our actions clearly prove otherwise. We
service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under
period and also made trading decisions during January 5-6, 2012 which Theera failed to prove that the orders were sent according to the client?s instruction.The Nongan Saetung case was also submitted by
which {A} failed to prove that the orders were sent according to the client's instruction.The {B} case was also submitted by his employer. The SEC then probed into the case and found from conversation
through such client?s account without record and evidence of trading orders. She failed to give the company and the SEC any evidence to prove otherwise. Kruawan?s actions were deemed trading securities for
closely with our customers to demonstrate the added value.” 2. Outlook A more challenging external environment, owing to continued trade tensions, impacted negatively on the economy in the second quarter
securities or positions in derivatives or foreign currencies overseas to a Thai business operator that they wish to use its services. In this regard, investors must present information to prove sources of
partially made in form of a physical delivery of shares, the Company shall submit an application to the SEC Office to file application to verify the quota of underlying shares along with documents and