caution when allowing unlicensed business operators to set up exhibition booths, as this may inadvertently facilitate illegal activities.   The SEC has been monitoring and observing events or exhibitions

, including those from foreign countries, as they are not under the SEC’s supervision and may pose a risk of fraud and scams. Concurrently, the SEC urges event organizers to exercise caution when allowing

On 17 September 2021, the SEC sent a circular to all listed companies advising listed companies that invest or plan to invest in digital assets to exercise discretion in making decisions regarding such investment. This is to prevent material impacts on the companies’ financial position or operating results as digital asset investment is usually exposed to relatively high risk from price volatility. In addition, the SEC reiterates that listed companies should take action and consider various fact...

intermediary shall consider received information as prescribed in Clause 31 in order to provide corresponding services including appropriate information and caution to each type of the client . In case the

unitholder may exit from the fund with no fee charged. The consultation paper is available on the SEC website at www.sec.or.th. Stakeholders and the interested public are welcome to submit comments through the

consideration.  The Sub-Committee opined that the tender offer rules aim to protect securities holders in cases of change in control over the business by providing fair exit and fair treatment to shareholders who

blockchain / smart contract เป็นต้น มาใช้ในกระบวนการจัดการเงินค่าจองซื้อหุ้น (2) เพื่อให้ผู้ลงทุนมีช่องทางในการ exit หรือขายหุ้นออกได้ง่ายขึ้น โดยปรับปรุงกฎเกณฑ์ให้ funding portal สามารถทำหน้าที่ตลาดรองเพื่อ

urges the private sector to exercise caution and refrain from using response letters in such manner.In any case, the SEC’s response letters to inquiries may contain facts that have changed or are specific

important statement, for instance, caution of risks; (2) using statement without being misleading or distortion; (3) not having exploitative terms and conditions, or not being unfair agreement; (4) covering

(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 an...