in the scheme. (4) For the mutual fund that invest in foreign countries : (4.1) The stock exchanges in the country where the mutual fund invest with over 10% of their NAV cannot open for normal
). MTN program - - - - Registration with the Thai BMA - - - - Ratings - - - Required. [1] For issuance and offering of bonds to II by issuers that are not financial institutions or registered as the
common stock prices prior to or during the offering, in accordance with the guideline of the Thai Bankers' Association (floor conversion price). [4] Requirements for additional disclosure in filing
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
Transferable Subscription Rights (TSR) is an instrument to enable investors with liquidity to sell or transfer their subscription rights. TSR is an instrument issued by a listed company to existing shareholders
Placement of a Warrant (PP Warrant) Regulatory Summary Public Offering of a Warrant (PO Warrant) can be done in accordance with the following requirements: The offering company must be incorporated under Thai
) Prohibiting offering of all types of securities in accordance with the Securities and Exchange Act of 1992 in the case where the Stock Exchange of Thailand (SET) publishes a warning sign on any listed company
the amendments to regulations on ETFs, with which most of the respondents’ expressed opinions are in agreement. The SEC has therefore issued the amended notifications on the ETFs with the salient
more focus on intermediaries? roles for better investor protection. Vorapol Socatiyanurak, SEC Secretary-General said The SEC?s strategic plan aims at stepping up the development of the Thai capital
businesses; for example, a business of limited broker, dealer and underwriter (LBDU), if they are able to meet with the requirements on registered capital, staff and management and working systems.? Suchada