allocated assets prior to others. These customers must not be individuals with a relationship to the derivatives broker in such manners as director, executive, major shareholder and controlling person of

Growth.?PE is an investment of institutional investors or high net worth individuals who commit their money into targeted business having high growth potential and demanding funds for improving its working

financial institution established under specific law. ?Recently, bills of exchange have been actively used for fundraising not only from institutional investors but also from private individuals either

license with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) for further legal proceedings. With reference to clues and the SEC?s findings, the three aforesaid individuals

securities business operators and individuals before using their services or making investment decisions. In case of suspecious unlicensed securities business operation, please call SEC Hotline 1207 for

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

at www.sec.or.th and via SEC Check First application, while a list of unauthorized individuals outside the SEC supervision is also available at Investor Alert on the SEC website via https

According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was revealed that six individuals, with relationship among themselves, had engaged in PRINC

receipt (DR). Convertible Securities: warrant or convertible debenture or other securitiesconvertible to stock. In case of group report, disclose the changes in the holding of individuals, thegroup

debenture or other securitiesconvertible to stock. In case of group report, disclose the changes in the holding of individuals, thegroup percentage of acquisition/disposition, the group percentage after