, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to communicate with clear and reliable information, and without misleading information. SEC Act

(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee

client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources

identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources of information (client verification

identity using reliable sources of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1

SEC later conducted a public hearing to gather views and suggestions on the matter from stakeholders during February – March 2023. The finalized amendment to the equity allocation regulations* has

the offering of capital shares to the group of persons and the price thereof as mentioned above to gather complete information before making a decision and passing a resolution

submit comments via the SEC website or email: ekarit@sec.or.th and chawin@sec.or.th. The public hearing ends on 27 March 2021. The SEC will also conduct a live talk to gather public opinions on the

own opinion without reference to any research paper from a reliable source.Both investment consultants have failed to perform duties with responsibility and deliberation as a professional in violation

thus unable to gather sufficient evidence for such transactions.  In this regard, the SEC required AIE clarify the issues to the SEC and publicly disclose the information by May 12, 2015.In addition, AIE