persons and general investors applies the same rules. In addition, the issuing companies must ensure that subscribers through any channels such as website or telephone, obtain executive summary or factsheet

-called Know Your Customer (KYC)/ Customer Due Diligence (CDD) rules and to report suspicious transactions.  Moreover, in cooperation with securities business operator, the SEC sets up standards and

with the SEC rules on standards of conduct is subject to strict sanction, said SEC Deputy Secretary-General Vasant Thienhom.  

to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product

innovations in domestic and foreign markets; (3)  Corporate finance & products: Rules, regulations and procedures governing issuance and public offering of financial instruments and related transactions;(4

scope of operation of foreign representative branches of Thai business operators and apply the rules of the regulators of such foreign representative branches instead, (3) allow more flexibility on

rules;  (3) Advertising, persuading or acting in any other manners to support the deposit taking and lending services under (1) and (2) of other service providers.  The consultation paper is available at

been in effect since 16 July 2026.Notes:* Two relevant notifications are:1. Notification of the Office of the Securities and Exchange Commission No. SorNor. 7/2569 Re: Rules, Conditions and Procedures

who sell securities without having such securities in their possession, requiring such transactions to comply with the rules prescribed by the Capital Market Supervisory Board to ensure consistent

regarding the receipt of financial assistance pursuant to the Notification of the Capital Market Supervisory Board No. Tor Jor. 21/2551 Re; Rules on Connected Transactions and the Notification of the Board of