identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
, 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
and collect fees or service charges in accordance with the rules, conditions and procedures as specified by the board of directors of the Securities Exchange. In operating the business of securities
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
procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters.To ensure that the private sector will have clear guidelines for
Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
collect from the mutual fund: (1.1) A maximum amount must be specified. (1.2) Collection of expenses for a sales promotion on the mutual fund is prohibited. (2) Collection of management fees shall comply