Mr. Xin Ye Mr. Xin Ye colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and
: (1) “bond” means a secured bond, an unsecured bond, a convertible bond, a structured note or a subordinated bond, whether or not the issuer provides a bond holder representative; (2) “secured bond
Features and Key Risks of Structured Notes General Risks Information of the Issuer Nature of Business Use of Proceeds Secured Creditor Common Creditor / Senior Creditor Subordinated Creditor Preference
Transaction After obtaining approval from the Board of Directors’ meeting No. 8/2017 held on September 8, 2017. It is expected that the Subsidiary will enter into the Agreement to sell and purchase shares with
committed an offense under Section 89/25*, for example, taking the assets of the juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening
juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents. In addition, SEC has prescribed a procedure for
advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC
different company names such as Global Investments Far East Limited and Global Investments International Limited. The aforesaid person jointly operated securities business without obtaining license from the
securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. This case is under