securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
following regulations: (1) examine the account status of a client before trading securities for the client; (2) specify the method and procedure for trading securities for clients on the first-come-first
) examine the account status of a client before trading securities for the client; (2) specify the method and procedure for trading securities for clients on the first-come-first-served basis and take into
U City Public Company Limited (Registration No. 0107537000459) 21 TST Tower Soi Choei Phuang, Viphavadi-Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand T: + 662 273 8838 F: + 662 273 8858 www.ucity.co.th Ref. No. U.SET 019/2017 October 30, 2017 Subject: Entire business transfer of Unicorn Enterprise Company Limited, capital increase, issuance of the U-W3 Warrants and U-W4 Warrants, issuance and offering of the newly issued preferred shares to be issued and offered to the existing shar...
trading in the Securities Exchange. "competent official" means a person appointed by the Minister to execute the duties in accordance with this Act and whose name is published in the Government Gazette
and executives (Section 317/1(2)(3)) - Whistle blower (Section 89/2, 89/25) Prevention of Unfair Securities Trading Practices (Section 238 - 244/7) - Penal provision for unfair securities trading
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....
other countries; 8 (2) restrictions or risks related to currency exchange, method of subscription, clearing and settlement, method of transfer, including the information specified in Clause 17(2). The