Ref. No. U.SET 026/2018 30 May 2018 Subject: Subscription of 30 Percent of Newly Issued Shares in Vienna House Asia Limited To: The President The Stock Exchange of Thailand U City Public Company
then asked the client to transfer the subscription money into her own banking account without actually using the money to buy such shares for the client; (2) In July 2017, Nutnicha borrowed shares of
. Notification of the Capital Market Supervisory Board No. Tor Jor. 33/2551 Re: Application and Approval for Offering of Newly Issued Underlying Shares for Transferable Subscription Rights ________________________
entitled to subscribe for the shares at least 14 days before the subscription date, and the offering for sale of the existing shares shall not be advertised to the public. In addition, SEC has proposed an
subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false
newly issued shares exclusively to the existing shareholders at a subscription amount not exceeding their holding proportion. PPO requires approval of the shareholders’ meeting and the newly issued shares
Securities/Assets 475724426.8 2024-08-09 2023 8 ใบแสดงสิทธิ/ใบสำคัญแสดงสิทธิ Depository Receipt/Warrants/Transferable Subscription Rights หลักทรัพย์/ทรัพย์สิน Securities/Assets 37730228.44 2024-08-09 2023 8
wrongful acts against investors’ assets. In this regard, he used eight investors’ money for unit subscription for his own benefit, causing the total damage of 449,500 baht. At the time of the offense, he was
in the Project of The Marvel Experience: Theme Entertainment Attraction – TMX of Hero Experience Co., Ltd. (the “Hero Experience”) by means of subscription of newly issued shares of Hero Experience and