oversight in Thailand, priority is given to supervision of individual auditors, but the competent agency is not given the power to directly supervise the audit firms._________________________

funds, venture capital firms, and ultra-high net worth investors. With respect to individual investors, SEC has received diverse comments involving restrictions on investment in ICO. Therefore, SEC will

worth investors, venture capital businesses and private equity funds at an unlimited amount. Investment is capped at no more than 300,000 baht per ICO project for each individual investor, or no more

include:   - disclosure of additional information to cover individual remunerations for executives of the highest rank, e.g., chief executive officer and managing director;    - extending the periods for

those 13 offenders in the Civil Court for imposition of the applicable statutory maximum penalties, based upon the details of individual case of manipulated shares, which collectively comprise a fine

must be sold to institutional investors only; (4) An individual or a group of individuals may hold investment units at an amount not exceeding one third of the total units sold, except for those granted

 Individual Investment Account รวมถึงส่งเสริมบทบาทของนักลงทุนสถาบันอย่างต่อเนื่อง นอกจากนี้ ก.ล.ต. ยังให้ความสำคัญกับการเพิ่มประสิทธิภาพในการกำกับดูแลและบังคับใช้กฎหมาย โดยได้ยกระดับการสร้างความเข้มแข็งของ บจ

within the full period of 3 years preceding the year of application filing toward the date of application filing; □ (2.4) In the case where the shareholder is an individual person: Violation record under

application filing toward the date of application filing; □ (2.4) In the case where the shareholder is an individual person: Violation record under the law specified in the Notification within the full period 3

company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment