securities and exchange ; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or materially misleading information. Division 4 Specific
. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
the Notification of the Office of the Securities and Exchange Commission regarding Determination of Definition of Investor Having Specific Characteristics. The term, “crowdfunding” shall have the same
and exchange; (4) Life insurance company under the law on life insurance business; or (5) Financial institution established under specific law. Clause 4. The person under Clause 3 will be granted the
securities and exchange; (4) Life insurance company under the law on life insurance business; or (5) Financial institution established under specific law. Clause 4. The person under Clause 3 will be granted
Ref: No 18/2005 Ref: No 32/2019 June 27, 2019 Subject : Promissory note from connected persons and granting financial assistance To : The President The Stock Exchange of Thailand The Board of
qualifications as prescribed under the general rules or the specific rules as follows: (1) General Rules (a) Having passed a course on securities and exchange laws, relevant rules and regulations and ethics and