conduct must be as strict as those imposed on the sale of high-risk products and the associated risks must be clearly disclosed; (8) Debt issuers must use the raised money to repay for the earlier
: Prospectus for Offering for Sale of Investment Units of Mutual Funds for Retail Investors, Mutual Funds for Non-Retail Investors and Mutual Funds for Institutional Investors (No. ), including Form 123-1 and
issuance and offering for sale of securities. ** Regulatory Guillotine is the regulatory review of the existing laws and regulations. The reviewed laws and regulations that are not necessary or do not
level of strictness of the regulations governing the issuance and offer for sale of debt securities varies depending on the types of investors. For example, the regulations on a private placement to
who obtained an SEC approval to become ICO portals and for digital token sale. Therefore, those who make infringement will be regarded as breaking the laws with criminal and civil penalties
PICO’s shares. Accordingly, Mr. Surin Banyongponglert had benefited from the sale of shares by receiving the benefits from the difference of the purchase price and sell price, and thereby causing
yet issued any permission for sale of digital tokens or initial coin offerings (ICOs). Those who have been persuaded for such investment, please inform the clues to SEC Help Center at 1207
report the proceeds from sale of mutual funds to the investors to ensure that the investors have sufficient information for making the investment decision and shall not make payment of commissions to the
Division of the Royal Thai Police on account of offering securities for sale to the public without approval.According to the received information and the SEC?s further inspection on public solicitation for