must be sold to institutional investors only; (4) An individual or a group of individuals may hold investment units at an amount not exceeding one third of the total units sold, except for those granted
Securities; “big retail investor” shall have the same definition as specified in the Notification of the Capital Market Supervisory Board concerning Establishment of Mutual Funds for Retail Investors and Non
In case a unit offeror has failed to comply with the rules as prescribed in this Notification, the unit offeror shall comply with one or many of the following acts ordered by the SEC Office: (1) cease
Company (or “MDP”) Transaction Date Within 30 June 2020 (in the process of confirming transaction date) Investment Party Mr. Thomas Frakes and Mrs. Cynthia Frakes are American investors and founders of MDP
the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry
operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal http://market.sec.or.th
Bangkok, Aug 15, 2011 - The SEC suspends four investor contacts, namely, (1) {A} of Asia Plus Plc. for one month, from August 10, 2011 due to his interference with client's assets and reprimands
issues the following regulations: Clause 1. The following juristic persons shall be institutional investors under Section 3 of the Derivatives Act, B.E. 2546 (2003): (1) a commercial bank; (2) the Bank of
as organized by the SEC Office, shall be the dispute that represents the amount of damages claimed by each customer not more than one million baht. Clause 2. This Notification shall come into force as