of investment in such securities; “general advice” means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice
. (Translation) -3- “general advice”5 means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice”6 means an investment advice
without considering of investment objective, financial status or individual needs; “specific advice”6 means an investment advice given to any person that suitable to investment objective, financial status
) SANCTIONS.—If the Board finds, based on all of the facts and circumstances, that a registered public accounting firm or associated person thereof has engaged in any act or practice, or omitted to act, in
trading. B. Entities Providing Liquidity. If any entity has made a firm commitment to act as intermediary for the debt securities in secondary market trading, such as market maker providing liquidity
overseas company to be used as the site of a power plant operation in Japan. In addition, another subsidiary has a land lease agreement with a domestic individual to be used as the site of a solar power
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
auditor appointed by an audit firm is unable to perform audit work for a listed company and the audit firm has an insufficient number of auditors in the capital market to handle the situation, the listed