, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors
, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee
worth and ultra-high net worth investors whose qualifications are as specified by the SEC Thailand. Yes No If “No”, please specify __________________________________________________
worth investor”, “institutional investor” , “structured notes”, and “short-term bond ” shall have the same meanings as defined in the Notification of the Securities and Exchange Commission concerning
maturity period prescribed in the disclosure document. Automatic redemption would require pre-specified terms and conditions, and investment would be limited to institutional and ultra-high-net-worth
committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd. Following the inspection reports of Globlex and KTB and her clients? complaints, the
” means the Thai Bond Market Association which has been licensed by and registered with the SEC Office. The terms "credit ratings", "registration statement", "listed companies", "high net worth
persuaded other persons to do the same, and (3) Mrs. Panadda Soontornsaratul assisted Chanthani?s insider trading by allowing her to use her trading account for the purpose.Following a referral from the Stock
Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's