Specific Characteristics ______________________ Division 1 Mutual Fund Investing in Derivatives or Structured Notes _________________________ Clause 16 The provisions hereunder shall apply to the following
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
securities to each person, categorized by underwriters, and submit it to the Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph
as follows: (a) prepare a name list of the top one hundred largest allocated persons, together with the reason for allocating securities to each person, categorized by underwriters, and submit it to
Bond SUKUK Structured Debenture Common share (LiVEx) DR-Common share Depositary Receipt DR-Convertible debenture Depository Receipt Representing Foreign Securities NVDR Preferred share TDR TSR Warrant
and lease back of premises categorized as operating lease in the annual financial statements. The SEC is of the opinion that the above transactions were in fact a collateral loan, not an outright
contain information on the securities to be offered, particularly its special characteristics and risks categorized and detailed in a succinct and comprehensible language, to allow investors to access and