offering registration forms (filing effective) after the effective date. ____________________Remark:*The Notification of the Securities and Exchange Commission No. SorJor. 3/2567 Re: Reporting of Public
business operators and low-risk operators, requiring submission every three years or upon occurrence of a widespread adverse incident; (2) To adjust submission of risk level assessment (RLA) forms and IT
Currently, investors are usually required to provide a lot of information each time they request services from an intermediary and must repeat the process via different forms when using services of
offering and to strengthen proper investor protection mechanisms. Pursuant to the amended regulations, investors’ rights will be protected fairly according to the characteristics, forms and risks of the
, through the SEC’s communication channels and mass media, in the forms of infographics, articles, as well as educational seminars organized in cooperation with related agencies. In carrying out investor
mutual fund under Thai securities law although utilizing different forms of instruments such as shares or trust certificates. Eligible CIS must be managed by CIS operator subject to supervision of ASEAN
foreign company wishing to make a public offering of newly issued shares shall submit an application together with the evidentiary documentation in compliance with the forms and procedures as stipulated by
relation to the allocation and the offering of the newly-issued ordinary shares, including to organizing and submitting any applications forms for permission, waivers (if any) and necessary evidences to the
documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or
allocation of the newly issued ordinary shares, including to contact and file such applications or waiver applications, documents and evidence with any relevant government authorities and/or agencies and to