; (c) non-investment grade or unrated bonds; (d) structured debentures according to the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of
Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 5/2560 Re: Rules on Personnel in the Capital Market Business (No.6) dated 9 February 2017 (effective on 1 January 2018). 3 (d) structured
United Overseas Bank (Thai) Public Company Limited United Overseas Bank (Thai) Public Company Limited ("UOB"), failed to prepare and submit the report on the sale results of structured
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
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
", "institutional investors", "executives", "controlling person", "short- term bonds" and "structured notes" shall have the meaning given to them under the Notification of the Securities and Exchange Commission on
translation is strictly for reference. 4 Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. Tor Thor. 80/2552 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers
specified in the notification of the SEC.