securities in the category of Private placement Between 20 June 2017 – 20 December 2017 without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the

Alpha Divisions Public Company Limited Alpha Divisions Public Company Limited used the proceeds obtained from the offering of new shares to private placement, that is not used for the purpose

regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint a private fund marketing representative and a representative for

Commission regarding approval for investor contacts and standards of conduct; (2) In case of a juristic person, the management company shall only appoint a private fund marketing representative and a

approval of juristic persons as marketing representatives of private funds and standards of conduct. In appointing a juristic person as representative for sale or acceptance of redemption of investment units

facilitate the private sector.  The revised rules are expected to become effective soon.With a view to increasing the variety of investment choices, underlying securities for DW will be expanded from the

provisions related to the offering for sale of bills in a private placement (PP10) as it is no longer determined as an offering for sale of bills deemed as securities* pursuant to the regulations on

give more emphasis on this matter.”  In this regard, SEC is proposing an amendment to the rules on renewal of approval for personnel in capital market businesses whereby an ESG course would be

Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and

prior approval from the Office; the Office, therefore, stipulates the approval for a securities company licensed to undertake securities business in the category of mutual fund management, private fund