prescribe stricter supervision. For example, it is compulsory to obtain an investment management business license, establish the readiness of work systems and personnel and comply with the investment policy
from those mandatory targets prescribed by the TFAC (e.g., verified CPD 20 hours per year, and at least 10 hours related to accounting subject)? If yes, explain how and why. 8 How does the firm obtain
shareholders, for example, the right to buy, sell or transfer shares, the right to obtain correct and adequate information, the right to receive dividends, the voting right at shareholders’ meetings, the right
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....
profession standards. Furthermore, the SEC representatives attended conferences to share ideas and experiences with the stakeholders and participated in domestic and international symposiums. obtain certain
Thai capital market movements and the SEC's progress in various areas for foreign investors, securities analysts, and international financial institutions, related organizations and the public. To obtain
of Thailand nor to obtain an approval from its shareholders in accordance with the Notification of the Capital Market Supervisory Board No. ThorChor. 20/2551 Re: Rules on Entering into Material
construction materials and the risen of wages; and (2) The Company has been unable to obtain the financial support from financial institutions since 2015 due to major legal cases derived from the negative impact
authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of
any person authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in