for sale of newly issued securities in the category of debentures (Private Placement) without approval from the SEC office resulted from the instructions or the failure to give instructions which is a
securities in the category of debentures between August 11, 2017 and August 5, 2020 without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the
securities in the category of Private placement Between 20 June 2017 – 20 December 2017 without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the
interest rate or floating interest rate; (3) in case of accepted, aval, endorsed, or guaranteed debt instruments, such acceptance shall be unqualified, aval shall be given as to the whole amount, endorsement
floating interest rate; (3) in case of accepted, aval, endorsed, or guaranteed debt instruments, such acceptance shall be unqualified, aval shall be given as to the whole amount, endorsement shall be made
results in the future (if any); (5) in the case of a guaranteed fund, a summary of important details of a draft guarantee agreement, the financial status and operating results of the guarantor at least over
Category of Derivatives Fund Manager dated 23 January 2004; (2) The Notification of the Securities and Exchange Commission No. KorThor. 56/2547 Re: Licensing Derivatives Business Operator in the Category of
: Licensing Derivatives Business Operator in the Category of Derivatives Fund Manager dated 23 January 2004; (2) The Notification of the Securities and Exchange Commission No. KorThor. 56/2547 Re: Licensing
by commercial banks and banks established under specific laws, but limited to those with investment grade* credit rates or support rating**, as the case may be, including government-guaranteed banks