regard, SEC has reviewed regulations on the operation of investment management business as prescribed in two notifications by applying the guidelines of the Regulatory Guillotine scheme to ensure
Determination regarding Definition of Institutional Investor and High Net Worth Investor. “client” means user of an intermediary’s services. “Stock Exchange” means the Stock Exchange of Thailand. “derivatives
trust issued by foreign ETF . “ underlying shares of ETF ” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign exchange, as the case may be, which are in a
securities and exchange means Securities and Exchange Act B.E. 2535 (1992) 2 “underlying shares of ETF” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign
” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign exchange, as the case may be, which are in a list of asset that an investor would be able to exchange
. Victor was then a UOB Kay Hian Co-CEO, a chief of institutional client unit and direct supervisor of the staffs providing services to institutional clients. Although, the Stock Exchange of Thailand
report the information memorandum thereon to the Stock Exchange of Thailand or to seek approval thereof from the shareholders meeting pursuant to the Notifications on Acquisition or Disposal. In order to
undertake the following actions: (1) disclose information on the class 2 transaction to the Stock Exchange of Thailand (the “SET”) pursuant to the Acquisition and Disposition Notifications; and (2) notify the
.: President The Stock Exchange of Thailand Enclosure Information Memorandum on Disposition of Assets and Execution of Connected Transaction of Ocean Commerce Public Company Limited Ocean Commerce Public Company
into Material Transactions Deemed as Acquisition or Disposal of Assets, and the Notification of the Board of Governors of the Stock Exchange of Thailand Re: Disclosure of Information and Other Acts of