According to the establishment guidelines, an SSF can be a newly established fund or an existing mutual fund amended to include SSF investment unit class.“SEC expects the regulations on SSF
other business operators within 2 years, the client will not be required to do the suitability test prior to making investment in newly issued shares, warrants or bonds. Also, the submission of client
Limited (“CCSP”), shall be liable for CCSP's offering for sale of newly issued securities in the category of promissory note between 19 July 2018 to 30 October 2020, without approval from the SEC
Ngern Tid Lor Public Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration
Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration statement (FORM 69-PP
to be performed. Therefore, Mr. Amorn is liable in the case where EA offered for sale newly issued securities in the category of a bill of exchange without obtaining approval from the Office of the
's character that gives dividend to coin holders, without an approval from the SEC Office in offering the newly issued digital token to the public via the Facebook page named BarterSmart and at the
character that gives dividend to coin holders, without an approval from the SEC Office in offering the newly issued digital token to the public via the Facebook page named BarterSmart and at the seminar held
(“TCC”), namely TCC’s shares and the warrants to purchase the newly ordinary shares of TCC class 3, class 4, and class 5 (“TCC-W3” “TCC-W4” and “TCC-W5” respectively) by placing trading orders or trading