not only play an important role in promoting the sustainable quality of the listed companies’ financial reports but also help to reinforce fraud prevention. Over the years, the SEC has collaborated

only the commencement of the criminal proceedings, whereby the consideration of whether any person is guilty is subject to the inquiry official’s investigation, the public prosecutor’s prosecution, and

have a written authorization from investors only.__________________Notes:*  Pursuant to Clause 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1

.**All-or-Nothing rule means that crowdfunding project issuers need to fully meet the targeted fund-raising amount only, in order to receive the funds raised from investors.***Notification of the Office

-account of a Thai intermediary’s omnibus account only. Moreover, investors may also transfer their investment portfolio from one Thai business operator to another Thai business operator and may transfer

example, not putting the assets of private fund clients in custody of depository, allocating IPO shares to private fund clients only while allocating none to mutual funds under the company’s management

, filed the criminal complaint against Mr. Suphan Sethapanich for this offense at the same time. In addition, the criminal complaint by the SEC is only the starting point of the criminal law enforcement

regulations to remain only those necessary and consistent with current situations. These efforts aim to strengthen business sectors’ competitiveness, and reduce operating costs of private sectors and burdens

aims to standardize the SEC regulations in line with the changing situations to ensure that only necessary regulations are issued and enforcement is effective. In any case, appropriate investor

. He also claimed that the share issuer would increase capital shares and be allowed to resume trading on the Stock Exchange of Thailand. The client was interested in such deal but only had money for