client. Comments and suggestions on the matter are welcome until March 30, 2012. The proposed regulation will require underwriter know individual client before selling client any product. For retail client
) issuance. The revision will require DW issuer to provide a so-called ?fact sheet? which is a investor-friendly description of securities? key features, specific characteristics and risks. Fact sheet must be
(DW) issuance. The revision will require DW issuer to provide a so-called ?fact sheet? which is a investor-friendly description of securities? key features, specific characteristics and risks. Fact
the Deposit Protection Agency Act B.E. 2551. The revision will require securities company or derivatives broker to deposit client?s money with commercial banks or invest in promissory notes and bills of
do so in the future; - To limit the collective shareholding of all patrons and related persons up to 25 percent of the IPO shares sold; - To require the board of directors to approve the criteria for
accordance with the specified qualifications and prohibited characteristics. In addition, the revised rules require directors and managers of securities and derivatives business operators to pass training
supervision and trustworthiness of listed companies? financial reporting. Vorapol Socatiyanurak, SEC Secretary-General said that ?Following the 2010 revamp of audit oversight to require SEC-registered auditors
on disclosure of financial condition and operational result of the foreign bank branches as well as to require the branches provide the issuer rating in issuing the debt securities.The consultation
securities public offering (PO). The revised rules require the issuers of non-listed company not have any records of severe misconducts for a certain period prior to securities offering submissions. For
requirement for financial advisor participation in the preparation of the registration statement; 3) Fees: to exempt the filing fee of the registration statement and require only the application fee of