effect. The issuing companies are required to prepare notice calling a shareholders? meeting with thorough information on dilution effect caused by CD issuance including 1) number of shares reserved for
, SEC Senior Assistant Secretary ? General, said: ?After a thorough analysis of the current financial reporting ecosystem and discussions with relevant parties including the SET and the Federation of
intermediaries. These proposed rules aim to provide sufficient and material information for investors? decision making, and to promote salespersons? thorough understanding of the products they offer as well as
oversee the auditors of PIEs, protect investors? interest and promote confidence in the quality and reliability of audited financial statements of PIEs. As at 31 May 2015, a total of 306 individual auditors
net worth investors and venture capital enterprises, but no more than 300,000 baht to each individual investor. A combined amount sold to individual investors must be no more than four times of
, insurance company, and mutual fund (2) high-net-worth individual (3) retail investor or juristic person with minimum of 2 million baht initial subscription. The persons in (2) and (3) will be required to have
institutional investor or high net worth individual, investment units to be offered for sale must be disclosed on the SEC website and be traded at the same time and on the same day as its home country, except in
” concept. Moreover, under the “Segment of One” concept, we focus on strengthening our capabilities by using data and advanced technology to understand and anticipate each individual customer’s need and
mechanisms and regulation. The following Code of Conduct Fundam 4 These measures are the fundamentals which should be included in individual CRA codes of conduct, and the elements contained in the IOSCO CRA