Microsoft Word - 00. Project Unicorn - ELCLID of U - Revised Offering Price EN v2 (05122017) - clean.docx 1 (-Translation-) Ref. No. U.SET 024/2560 December 6, 2017 Subject: Notification on the Change of Details Concerning the Entire Business Transfer of Unicorn Enterprise Company Limited, Capital Increase, Issuance and Allocation of U-W3 and U-W4 Warrants, and Issuance and Offering of Newly Issued Preferred Shares to Specific Investors To: The President Stock Exchange of Thailand Enclosures: 1....
. In this regard, the Office may request for an explanation or clarification of such reports or documents. Clause 11/3. In the case where the investment advisory company violates or fails to comply with
and Exchange Commission Re: Rules and Timeframe for the Submission of Reports of Securities Companies dated 18 May 1992, the Office of the Securities and Exchange Commission hereby issues the following
Exchange Act B.E. 2535 (1992) and Clause 1(3) of the Notification of the Securities and Exchange Commission Re: Rules and Timeframe for the Submission of Reports of Securities Companies dated 18 May 1992
-date information in order to verify the client’s assets information reports between the custodian and the securities company. Clause 15. A securities company shall deliver a report of the client’s assets
verify the client’s assets information reports between the custodian and the securities company. Clause 15.3 A securities company shall deliver a report of the client’s assets at the end of each month to
retrieved and inspected by the SEC Office. The securities company shall maintain reports or articles on securities investment analysis for at least two years from the publication date in such a manner that
that can be promptly retrieved and inspected by the SEC Office. The securities company shall maintain reports or articles on securities investment analysis for at least two years from the publication