repeal of the trading lock-up rules whereby an offer for sale of shares that have been sold at a lower price than the SPO price are prohibited. This is to enhance the SPO process and allow an appropriate

financial business operation, which is hard to avoid making transaction with relevant people such as, the sales of securities via affiliated securities companies and any instruments issued or on sale by

employees without their knowledge, issued deposit passbooks to receive money from the sale of investment units on clients’ behalf, and had redeemed clients’ investment units in a total of 9 million baht. He

SEC is holding a public hearing on the proposed amendments to the regulations governing REIT indirect investment. According to the current regulations relating to issuance and offer for sale

financial advisor (IFA) in the event of major changes;    2. Allow the remaining shares from a preferential public offering (PPO)* to be offered for sale through PP (equivalent to right offering (RO)) to give

regulations on suitability test aim for investor protection both in primary and secondary markets and standardize practices in offer for sale of all securities. By taking into account flexibility and

capital market linkages aims to lessen obstacle and increase efficiency for law enforcement where regulations applicable to foreign company approved by the SEC to offer for sale of newly issued securities

of  foreign banks only is acceptable. In any case, moreover, clear statement on legal issues must be included for investment decision making.?In case that the foreign bank branches offer for sale of

and obligations of the listed companies. In particular, true sale and borrowing transactions are different in respect of accounting record and thus significantly affect the companies? profits in each

หลักทรัพย์นั้น ทำให้ลูกค้าต้องชำระเงินค่าซื้อหลักทรัพย์เร็วกว่ากำหนดชำระราคาค่าซื้อขายหลักทรัพย์ตามปกติ เพื่อไม่ให้ถูกบังคับขาย (force sale) การกระทำดังกล่าวพิจารณาได้ว่า {ก} ให้ข้อมูลหรือคำแนะนำไม่ครบ