Notification: “REIT” means a real estate investment trust. “unit” means a trust certificate representing the rights of the holder as a beneficiary of a REIT. Clause 2 Before entering into transactions arising
can also invest in companies with corporate governance excellence and disclosure of a corporate value up plan via the Stock Exchange of Thailand (SET)’s platform. This approach aims to foster value
without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own
profits from the order. SEC views that {A}’s act did not comply with the investor’s order and was deemed failure to perform duties with responsibility and deliberation as a professional**. SEC has
investors about capital market products without complex features and products with high risks or complexity of all types. Ex., investment units of mutual funds for institutional investors or ultra-high net
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s
. Selling agent must comply with specified criteria, for example, selling agent must examine investor?s characteristics before offering for sale of the product to ensure that the offer has been made to
Bangkok, May 18, 2011 ? SEC Secretary-General Thirachai Phuvanatnaranubala said after monthly SEC Board?s Meeting No.5/2011 that the SEC Board at its meeting No. 5/2011 has approved, in principle
includes units of property fund and instruments with commodities as underlying, providing further that the aggregated investment in the said assets shall not exceed 15 percent of the fund?s NAV; (5
ordinary shares under the MACO-W2, whereby the exercise price and the exercise ratio remain the same as detailed below: 1. Exercise price : THB 2.10 per share 2. Exercise ratio : 1 unit of warrant for 1