baht (except for private placement of up to 10 B/Es at any time) and must have a warning that such B/E is not entitled to protection of the Deposit Protection Agency. To limit investment risks, B/E must
of 10 million baht (except for private placement of up to 10 B/Es at any time) and must have a warning that such B/E is not entitled to protection of the Deposit Protection Agency. To limit investment
) 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
any country or any sector. For example, a higher-than-80-percent concentration in any sector would represent high risk. In addition, a risk warning statement would have to be printed on the cover of
prospectus; - continuing disclosure of the implied volatility in comparison to the historical volatility on the website of the DW issuer; - disclosure of a warning statement regarding the gearing ratio, a
(เป็นระดับ early warning เท่ากับ 10.5% หรือ 37.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์และเป็นตัวแทนซื้อขายสัญญาซื้อขายล่วงหน้า/ หรือ 22.5 ล้านบาท กรณีประกอบธุรกิจหลักทรัพย์หรือเป็นตัวแทนซื้อขายสัญญาซื้อขาย
in any particular case. If an offender fails to pay a civil penalty, in full or in part despite already agreed upon, or refuses to comply with a civil sanction, the SEC may seek the Civil Court's
and take action against the offender under the law in due course. SEC and SET are in close collaboration to foster transparency and investor confidence._____________________________Notes: * SET
word “draft prospectus” in red letters, at a size not smaller than the size of the general statements in the above-mentioned documents, which shall be clearly visible; (b) a warning statement presenting