control and compliance with good business practices; (3) being able to maintain capital funds and reserve fund in compliance with the law establishing or controlling business undertaking of the applicant
Microsoft Word - 00. Project Unicorn - ELCLID of U - Revised Offering Price EN v2 (05122017) - clean.docx 1 (-Translation-) Ref. No. U.SET 024/2560 December 6, 2017 Subject: Notification on the Change of Details Concerning the Entire Business Transfer of Unicorn Enterprise Company Limited, Capital Increase, Issuance and Allocation of U-W3 and U-W4 Warrants, and Issuance and Offering of Newly Issued Preferred Shares to Specific Investors To: The President Stock Exchange of Thailand Enclosures: 1....
Exchange Commission Sor Thor. 13/2561 Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital 17/01/2018 01/04/2018
: 2. An increase in the interest rate of SNW224A, SNW231A and SNW233A bonds from 8.00% per year to 8.50% per year throughout the extended periods; 3. Approval of a waiver for the failure to maintain
terms and conditions, and a cancellation of immediate payment obligation of SABUY258A bond. Regarding SABUY263A bonds:(1) A waiver of the obligation to maintain the net debt-to-equity ratio
derived from the redemption of fund units on the condition that the investors maintain the investments for at least eight years from the purchase date._____________________
applicant must possess and maintain the criteria for operations stipulated for the Self-Regulatory Organization (SRO) in line with the standards of the International Organization of Securities Commission
particular person to reduce inappropriate PP offering. The SEC is proposing to amend the PP offering regulations to further enhance efficiency of such offering and maintain sufficient investor protection
consecutive days. In addition, digital asset business operators are required to maintain net capital in accordance with the specified conditions to handle potential risks and liabilities from duty performance