follows: (1) During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She
director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.) Q: What level of suspicion and severity of
qualified company secretary depends on the board's discretion. Q: Are the company's personnel, e.g., director, executive, employee, secretary, board member or any other positions, eligible to hold the
convertible debentures and share warrants; (4) “director” means a director of an issuing company or its subsidiary; 2 (5)1 “employee” means a person who agrees to work for an issuing company or its subsidiary
Thaicredit Retail Bank Public Company Limited On 1 March, 2017 Thaicredit Retail Bank Public Company Limited (“TCR”) offer for sale newly issued securities in the category of warrant (Employee Stock
example, the issuer have never been rejected any PO submissions due to suspicion in severe inappropriate behavior in the past five years.The revised rules aim to prevent non-listed companies with severe
newly issued securities in the category of warrant (Employee Stock Option Program : ESOP) without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement
the company’s readjusting of employee accrued benefits and base salary to serve the company’s strategy towards fully digitalized format as well as to encourage all employee preparing for Digital