(by issue) ( 11 record(s) found) No. Report Name Data File As of Data Definition 1 Initial Public Offering : Bond (by issue) 2023 2 Initial Public Offering : Bond (by issue) 2022 3 Initial Public
: Equity (by issue) ( 11 record(s) found) No. Report Name Data File As of Data Definition 1 Initial Public Offering : Equity (by issue) 2023 2 Initial Public Offering : Equity (by issue) 2022 3 Initial
upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client
the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case
Credit Rating Agencies Approved to Issue Credit Rating for Instruments Subject to Rules Concerning Issuance and Offer for Sale and Investment of Funds
must not have behavior showing any objectives to engage in investment advisor business and must be registered with SEC. Even though the investment planners are waived in this matter, they are required
, conditions and procedures as specified in the notification of the SEC upon the recommendation of the Bank of Thailand.