issuing company whose registration statement and draft prospectus have been filed; 2 (4) a securities company; (5) a mutual fund; (6) a private fund as specified by the SEC Office pursuant to Section 140 of
., capital increase, and the issuance and allocation of the newly issued ordinary shares to the specific person under the private placement basis, and the schedule for Extraordinary General Meeting No. 1/2019
Bangkok, June 15, 2016 ? The SEC is seeking public comments on the proposed amendments to the rules governing investment of private funds and mutual funds offered for sale to accredited investors.The
News Network Corporation Public Company Limited News Network Corporation Public Company Limited (NEWS) offer for sale newly issued securities shares for a private placement without obtaining a prior
of mutual fund or private fund management, or derivatives investment management company. “ fund ” means mutual fund and private fund. “ investor ” means any person interested in investing in capital
1 August 17, 2018 Subject: Capital Increase for Offering for Sale to Specific Investors (Private Placement), Connected Transaction, Amendments to Articles of Association/Objectives of the Company and
persons participating in seminars); 3. Information on registered capital/paid-up capital of securities companies. ✓ ✓ ✓ 1. Information on foreign investment of private funds and the portfolio of securities
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which