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
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
: (1) “bond” means a secured bond, an unsecured bond, a convertible bond, a structured note or a subordinated bond, whether or not the issuer provides a bond holder representative; (2) “secured bond
investment policy to invest in structured notes, the management company shall consider the risk profile of the fund based on the return structure of the underlying variables. 7. Benchmarks Display the
on scope of audit imposed by the companies’ managements. AIE and AI must submit to the SEC and publicly disclose the rectified and audited 2014 financial statements by May 27, 2015. AIE was also
statements and half-year financial statements to the SEC, and to disclose the annual audited financial statements on their official platforms of the funding portals; (2) To disclose essential
Underlying Shares, dated 15 December 2008. However, the SEC has found that NEWS failed to disclose the dilution effect of NEWS-W8 offering on the shareholders in the AGM 2024 notice that included the agenda