, which was deemed a failure to comply with the investor’s order. {A}’s misconduct above contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board.* In
damages arising from or related to its use. ----------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor/Nor. 10/2552 Re: Rules, Conditions and Procedures
: Director and Manager, The Stock Exchange of Thailand. Whereas, the Board Directors’ Meeting of We Retail Public Company Limited No. 5/2018, which was held on 5 November 2018. Resolved for the approval of the
Notification shall apply to: (1) the application for approval and the approval for establishment of funds; (2) the allotment and the offer for sale of the units of funds; (3) the investment and income generating
business related to investment. Clause 2 This Notification shall apply to: (1) the application for approval and the approval for establishment of funds ; (2) the allotment and the offer for sale of the units
personnel who obtained the approval from the SEC Office in accordance with the rules specified in the notification of the SEC Office, be responsible for contacting, soliciting or giving advice related to
--------------------------------------- Clause 12. 9 Derivatives broker shall arrange to have personnel who obtained the approval from the SEC Office in accordance with the rules specified in the 6 As amended by the SEC Office Notification No
--------------------------------------- Clause 12.9 Derivatives broker shall arrange to have personnel who obtained the approval from the SEC Office in accordance with the rules specified in the 6 As amended by the SEC Office Notification No
filed in full prior to the date on which this Notification comes into force, the application and approval of which shall be proceeded in compliance with the said notifications and any relevant