According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
the clients’ handwriting, subscription orders and switch orders or unitholders’ account books, causing damage to four clients at the total amount of 10.44 million baht. The SEC has considered that
service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under
interest before deciding to invest. In case of IPOs, investors can access important information in the prospectus provided by the issuer or inquire securities companies. After subscription, investors should
minimum subscription over 50,000 baht for offshore offering.
practicality, securities underwriter is permitted to develop its own suitability test and may attach the test with securities subscription form to client in advance. Existing client who has done the suitability
trust with less than 70 percent of its investment is made in the projects having commercial revenues, it will be allowed to offer units only to investors with a minimum subscription of 10 million baht
priority rule ? extend the subscription limit for organizations managing investment for individuals. The proposed revision would apply to the Government Pension Fund, the Social Security Fund, provident
; for instance, regulatory information and investor advice. Additionally, visitors can stay informed with SEC updates across social networks such as twitter and youtube; as well as e-subscription. C