According to the findings after a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, the offenders were divided into two groups, with details as follows
Determination of Other Financial Institutions Eligible to Apply for Securities Business Licenses Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision Related to Capital Market
Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are
wording in the Notification related to the Issuance and Offering for Sale of Securities of SMEs in consistent with the investor definitions under the Notification on Determination of Definitions of
groups of the aforesaid entities whose property to be invested by the property fund - remains unchanged, at maximum 50 percent of the total units sold.The consultation paper on the proposed revision is
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees