of the SET?s action regarding rules on backdoor listing to protect shareholders and ensure the orderly market.
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
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
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
of the Capital Market Supervisory Board No. Tor Jor. 21/ 2551 Re: Rules on Connected Transactions and the Notification of the Board of Governors of the Stock Exchange of Thailand entitled Disclosure of