standard qualifications of salespersons. On the sales process side, the aim will be to prevent mis-selling or inappropriate selling of financial products to investors at the pre-sales, point of sales, as
retail investors and prevent inproportionate share allocation to patrons and related persons of the issuing company in such a way that could control the IPO volume on the Stock Exchange of Thailand (SET
funds), excluding equity funds. The amendments aim to ensure proper unit allocation and prevent any undue benefit by any particular individual. For example, the revisions require any person or group of
prevent damage to investors and their confidence in the capital market.
in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair
to efficiently use within appropriate time, including having security system sufficient to prevent an access or https://publish.sec.or.th/nrs/3872pe_r.pdf Microsoft Word - kor thor 65-2547 final.doc
sale of newly issued securities to the public (IPO) whereby issuing companies and listed companies would not be allowed to operate business as an investment company to prevent the misuse of the IPO