Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
fund trading transactions executed and regularly look into the mutual fund unitholding reports as well as related bank accounts. Moreover, investors should transfer investment money only into the
require that issuers of any type of debt securities use the same standardized factsheet form which accommodates product type-specific disclosure, for example, plain debentures, structured notes, securitized
the return shall not be relied on any other underlying, the applicant shall comply with only this Notification; (2) the offering of structured notes in other manners than (1) can only be done by the
Bond SUKUK Structured Debenture Common share (LiVEx) DR-Common share Depositary Receipt DR-Convertible debenture Depository Receipt Representing Foreign Securities NVDR Preferred share TDR TSR Warrant
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the
and take precedence over the IOSCO CRA Code. These laws and regulations may include direct regulation of CRAs and may incorporate elements of the IOSCO CRA Code itself. Finally, the IOSCO CRA Code only