. 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

properly licensed. Nowadays, deceitful tricks are increasing in number and variety. For example, illegal solicitors usually claim that they could offer fixed returns worth more than those generated from

system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders

placed trade orders in Mr. Peeranut’s account in a manner that manipulated the RPC share price, consequently misleading the public about the price or trading volume of the securities – for example, by

petition with the Southern Bangkok Civil Court, Black Case No. Por 101/2567, dated 18 January 2024. The petition sought the Court’s order to revoke a share swap contract whereby NUSA shareholders would

example, not putting the assets of private fund clients in custody of depository, allocating IPO shares to private fund clients only while allocating none to mutual funds under the company’s management

case of violation of the aforementioned rules 1.2.4 Communication of the aforementioned rules and penalties to the executives and the employees. For example: they are included in the orientation session

Corporation Co., Ltd. and/or T.M.B. Leasing Co., Ltd.) and fraud. Apart from this case, on August 2, 2011, the Southern Bangkok Criminal Court sentenced (1) {X2} Co., Ltd., (2) {C}, and (3) {D} for undertaking

Exemption from Submitting Registration Statement for Offer for Sale of Shares Issued by Foreign Company in case of Private Placement

Exemption from Submitting the Registration Statement In case of Non-public Offering Securities Issued by Foreign Company