Investment Schemes (Thai ASEAN CIS). To begin with, the first one provides an exemption of unit holding limit up to one-third of all units sold (the One-Third Rule) for Thai ASEAN CIS in the portion offered to
to be performed. Therefore, Mr. Amorn is liable in the case where EA offered for sale newly issued securities in the category of a bill of exchange without obtaining approval from the Office of the
liable for UOB’s failure to prepare and submit the report on the sale results of structured notes offered to Institutional or High Net Worth investors (II&HNW) through the transmission system of the
” with the intention of convincing the public to invest in derivatives offered by him with gold or an industrial group indices as the underlying commodities, and he has received benefits from investors
Barter Smart Company Limited During September-October 2018, Barter Smart Company Limited ("Barter Smart") offered BSmart coin, which was determined as an investment token due to the coin
Major Thanapong Janthong During September-October 2018, Barter Smart Company Limited ("Barter Smart") offered BSmart coin, which was determined as an investment token due to the coin's
other’s fund standards. In this connection, the SEC has issued regulations for such cross-border offerings of funds under HK-TH MRF. Essentially, a fund to be offered to retail investors in the host country
to open up new business opportunities for asset management companies to expand investor bases and enrich the types of financial products offered to investors in both markets. In addition, this joint
financial advisor (IFA) in the event of major changes; 2. Allow the remaining shares from a preferential public offering (PPO)* to be offered for sale through PP (equivalent to right offering (RO)) to give