characteristics, for example, investment units of mutual funds offered for sale to institutional investors or ultra-high net worth investors, investment units of mutual funds investing in derivatives, hybrid
through local licensed intermediaries in the host country must be authorized or approved for establishment and offering for sale to the public in the home country and must have the characteristics in
the regulations on sale promotion advertisement, engagement of introducing broker agent, and disclosure of brokerage transaction activities, which will come into force starting from 1 January 2022
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