). 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
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
audit committees to start a meaningful conversion with audit firms on the quality of their audits. In Singapore?s context, ACRA has been exploring the potential of having an AQI framework and we are
Patumban, as capital market personnel for six months each starting from 29 December 2015 on the ground of being negligent with regard to supervision of the company?s core work systems. Regarding the share