with the amendment to the Securities and Exchange Act. SET member and non-SET member securities firms will be allowed to trade listed securities outside the stock exchange only a case that trading is

services for non-institutional investors;                         (4)  10 million baht for undertaking securities business in the category of mutual fund management or private fund management to provide

material events required to be disclosed by listed companies via the SET portal include capital increase or decrease, dividend payment or non-payment, mergers and acquisitions, additional share allocation

และเสนอขายตราสารหนี้เช่นเดียวกับผู้ออกที่ไม่ใช่บริษัทจดทะเบียน (non-listed company) เป็นต้น รวมถึงหน้าที่ในการจัดทำและส่งรายงานที่แสดงฐานะการเงินและผลการดำเนินงานภายหลังการเสนอขาย เพื่อให้เหมาะสมกับการ

institutional investors or ultra high net worth investors to invest in any type of financial assets and instruments without restrictions, (2) cancellation of private fund types, i.e., retail and non-retail

obtain insufficient evidences concerning purchasing of machinery and other items as well as non-compliance with generally accepted accounting principles concerning disclosure in the notes to financial

, asset management companies, non-life insurance companies, life insurance companies and relevant bodies. The SEC has disclosed the list of the I Code endorsers on CG Thailand website at www.cgthailand.org

that these failures to record such details in the financial statements resulted in a non-compliance with the generally accepted accounting standards.In addition, SCAN?s auditor observed that SCAN has not

will be allowed to manage REITs? non-real estate assets, providing that there must be a separation of management and compliance units while Chinese wall must also be in place. Outsourcing of the

the referral from the Stock Exchange of Thailand, the SEC's probe found that during November 9-22, 2012, {A} purchased 1,786,100 {X1} Company shares based on the company positive non-public information