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

Microsoft Word - enactment-specialjuristicperson1997-amended 061120 1 (Translation) EMERGENCY DECREE ON SPECIAL PURPOSE JURISTIC PERSONS FOR SECURITIZATION B.E. 2540 (1997) (As amended)* Bhumibhol

Microsoft Word - GSC013_?????????????-Eng-revised ELCIDGSC013/2019 17 July 2019 Subject: Notification of the Resolution of the Board of Directors’ Meeting No.6/2019, The Providing of Financial

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return rate and the investment term were written on the cover of the client's fund book. The SEC has therefore suspended approval for {B} as a securities investment consultant for a period of two years

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Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional

, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her

to maintain sufficient liquid assets, which can readily be converted to cash, so that they are able to respond to market conditions without having significant impact on their asset market prices