spread in Thailand and The government has enacted the Emergency Decree on Public Administration in Emergency Situation (Emergency Decree) and orders to close the places where there is a high risk of
executive) who trades company securities or derivatives while material information has not been disclosed publicly engages in insider trading. Likewise, any person who has a close relationship with an insider
controlling person position (e) the related person or a close relative of the person under (a) to (d) of the Company. Thus, the offering of newly issued ordinary shares of the Company to VAVA is not regarded as
documentation according to the Licensing Manual for the Public. The SEC Office shall notify its decision on the application within forty-five days from the date of receiving the clarification of the issues
general, or the investors may not have received correct or sufficient information to support their investment decision making. Clause 13 If any one of the following characteristics is met, the SEC Office
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 Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
correct and sufficient information for supporting the decision to invest. Clause 8 In case a certain fact appears to the SEC Office after an applicant has obtained an approval for offer for sale of newly
contract of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor