complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
Bangkok, March 27, 2014 - The SEC suspended {A}, a former capital market investment consultant of UOB Kay Hian Securities (Thailand) Plc, and {B}, a capital market investment consultant of Krungsri
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Consultant on General Products No. Relevant Knowledge Qualifications List of Required Examinations1 (1) Fundamental
สารสนเทศข่าว มติ BOD 5-60 20171204En No. NDR013/2017 Subject Resolution of the Board of Directors’ Meeting To President The Stock Exchange of Thailand Enclosure 1. Information Memorandum on the Acquisition of Assets and the Connected Transaction 2. Information Memorandum regarding the offering of the newly issued ordinary shares to specific investors (Private Placement) 3. Capital Increase Report Form (F53 N.D. Rubber Public Company Limited (“ No.5/2017 held on November 26, 2017 which has the ma...
(-Translation-) Ref. No. VGIGM.CSC.SET.18.13 May 17, 2018 Subject Dividend Payment, Investment in the shares of Kerry Express (Thailand) Limited, Issuance and Offering of the Newly Issued Ordinary Shares of the Company via a Private Placement, Partial Sale of VGI Global Media (Malaysia) Sdn. Bhd.’s shares, Issuance and Allocation of Warrants to Purchase Newly Issued Ordinary Shares of VGI Global Media Public Company Limited No. 2 (VGI-W2), Capital Increase through a General Mandate and Calling t...
-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital
Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment
investment consultant for 10 years, starting from December 22, 2015, and suspending approval of Nattapon Chalermpot and Patcharee Thuttumrongchai as capital market investment consultant for six months and one
for a period of four months and 40 days, respectively.In the case of {A}, who was a securities investment consultant and a branch manager at KASIKORNBANK Public Company Limited (KBANK) while committing
Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and