Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory
, services or the operation of fund management, or service of brokerage, dealing or underwriting of investment units such as a fund fact sheet; (2) “Fund” means any mutual fund or private fund; (3) “Securities
underwriting of investment units such as a fund fact sheet; (2) “Fund” means any mutual fund or private fund; (3) “Securities company” means: (a) Management company; (b) Securities company performing the duties
Office under the Notification of the Capital Market Supervisory Board concerning Establishment of Retail Funds and Mutual Funds for Accredited Investors and Execution of Agreement for Management of Private
inspections on the company’s business undertakings in its capacity of private fund management as licensed under Type C Securities Business License, it was found that the company: (1) had presented false and
” means mutual fund manager or private fund manager; (3) “Register of Persons Qualified to be Fund Manager” means the list of persons approved by the Office of the Securities and Exchange Commission as
. (2) “Fund Manager” means mutual fund manager or private fund manager; (3) “Register of Persons Qualified to be Fund Manager” means the list of persons approved by the Office of the Securities and
. Notification of the Securities and Exchange Commission No. KorKhor. 9/2552 Re: Rules on Application for Obtaining Approval and Granting to Perform Trust Business ___________________________________ By virtue of
issued shares of THB 200,000,000 at par value of THB 1 per share and related matters. 4.2 The company needs to seek an approval from the Securities Exchanges Commission regarding the private placement at