specific amount. She also executed transactions of mutual fund unit subscription, but not until she had transferred the subscription money to her own account first. In this regard, Sunisa submitted a

all related parties. ** Preferential public offering (PPO) is a general offering of newly issued shares exclusively to the existing shareholders at a subscription amount not exceeding their holding

doubtful transactions with business alliances and shares dilution in Million Miles, then its subsidiary. MILL did not exercise its subscription right to purchase Million Miles capital increase shares

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

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

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

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

Subscription Rights หลักทรัพย์/ทรัพย์สิน Securities/Assets 21687861.23 2025-01-09 2024 4 หน่วยลงทุน Unit Trust หลักทรัพย์/ทรัพย์สิน Securities/Assets 2.79821E+11 2025-01-09 2024 5 สินทรัพย์อื่น Other Assets