benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a

? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s

wrongful acts against RAM documents.The SEC found that {A}, then RAM managing director responsible for operation and management of RAM assets, arranged for RAM to sell its acquired shares of Kiatnakin Bank

having successful crowdfunding campaign. Furthermore, a pitch perfect session will also be arranged for entrepreneurs to meet and present their ideas with investors.     

Commission concerning Determination of Definitions in the Notifications on Issuance and Offer for Sale of Securities; 5 “sale promotion” means providing incentive gifts, rights or other benefits to an investor

in Notifications concerning Securities Offering. Clause 3 This Notification shall apply to the offering of newly issued units of an infrastructure trust which is a trust with an objective is to invest

establishment and management of a mutual fund specified in the Notifications of the Securities and Exchange Commission, the Notifications of the Capital Market Supervisory Board and the Notifications of the

following notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board No. Tor Jor. 12/2552 Re: Application and Approval for Offer for Sale of Newly Issued Structured Notes dated

Decree on Special Purpose Juristic Persons for Securitization The Trust for Transactions in Capital Market Act Ministerial Regulations / Notifications Ministerial Regulations - SEC Act Ministerial

. Most respondents agreed with the proposed amendments.  The SEC has therefore issued two notifications of the amended regulations which contain the key provisions as follows:       (1) Disclosure