Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval
Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial
TISCO ASSET MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 27/12/2001 - 27/12/2001
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
of Securities and Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2 . In this Notification: “Fund supervisor” means the mutual
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual
G = 5,559 D = 155,559 H =1,555,559 05/05/2565 23/05/2565 20/06/2565 Property / Infrastructure Fund ( 0 record(s) found) Asset Management Company Name Supervisor Company Name Fund Name Fund Abbr. Name
Supervisor ______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification