assets The client’s assets are used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. SEC Act S.283 Settlement
the requesting and using of investor’s account for personal trading, even with the investor’s consent. Such conduct is deemed a prohibited characteristic for capital market business personnel under the
is not an institutional investor , private equity , venture capital and investor having a specific characteristic. “ institutional investor ” means an institutional investor in accordance with the
not an institutional investor, private equity, venture capital and investor having a specific characteristic. “institutional investor” means an institutional investor in accordance with the Notification
Ref.No.IVL004/11/2017 9th November 2017 President The Stock Exchange of Thailand Subject: Acquisition of PTA and Utility assets in Portugal Indorama Ventures Public Company Limited (“IVL”) would like to inform
13 November 2019 Subject: A Disposition of Assets of a Subsidiary Attn: Director and Manager The Stock Exchange of Thailand We, Land and Houses Public Company Limited would like to inform that On 24
) demonstrating that the REIT has paid up capital not less than five hundred million baht after the offer for sale of units in order to support the investment in assets in accordance with Clause 12 or Clause 12/1
- Translation - Page 1 of 14 Information Memorandum on the Acquisition and Disposition of Assets to Real Estate Investment Trust of Finansa Public Company Limited The Board of Directors Meeting of
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board