Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 48/2560 Re: Rules on
Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the
prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the
startups to access sources of capital efficiently at reasonable costs.”“Presently, SEC has the existing equity crowdfunding rules since 2015 for SMEs and startups with clear business plans to gain easier
rules on capital market personnel*. As a result, the SEC has revoked her approval as capital market investor consultant for 10 years, starting from June 8, 2016. SEC Deputy Secretary-General Tipsuda
clearer scope of duties and responsibilities of trust, trustee and other parties related to the transaction. The rules will be revised to regulate trust as securities issuer, having duty to disclose the
consideration passing to or from the issuer or any other member of the group. C. Exchange Controls To the extent that the governmental laws, decrees, regulations or other legislations of the issuer’s Home Country
primarily comply with its rules or the rules of the securities regulator of such recognized country (home regulators). Clause 7 In case of any of the following circumstances, the Stock Exchange of Thailand
the Office of the Securities and Exchange Commission No. SorKhor/Nor. 7/2551 Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of
. Clause 4 In undertaking custody of assets of clients , a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under