permitted to be placed as collateral to increase purchasing power of the customer.This will give the customers various investment alternatives and allow them to use securities to increase purchasing power

are welcome to give comments and suggestions via the SEC website: www.sec.or.th/hearing, or facsimile at 0-2033-9619, or email: weeruna@sec.or.th or yongyut@sec.or.th or leelanar@sec.or.th. The public

financial advisor (IFA) in the event of major changes;    2. Allow the remaining shares from a preferential public offering (PPO)* to be offered for sale through PP (equivalent to right offering (RO)) to give

having medium to high risk level without  principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete

from the one-year prohibition. This is to allow the offeror to make the tender offer within one year and give the securities holders of such business the opportunity to consider the offer.            2

for different risk levels and thus functions as a guideline for the business operators to give investors even more appropriate investment advices. At this juncture, the SEC wishes to invite all business

must not be utilized as if the business operators do not operate the business themselves.Moreover, outsourcing to non-licensees will be permissible as well. The business operators simply give the SEC

with the auditors and give the auditors supporting information and documents. Both companies must submit to the SEC and publicly disclose the rectified and audited financial statements by May 27, 2015.

offenders with the ECD Police for further legal proceedings. Anyone who may have been affected by their unlicensed securities business operation can give additional information for the benefit of the ECD

their professional ability to give appropriate information to investors. In making appropriate adjustments and enhancing practicality for the industry, the SEC has taken into consideration comments and