DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22

level of strictness of the regulations governing the issuance and offer for sale of debt securities varies depending on the types of investors. For example, the regulations on a private placement to

supervision scheme follows a similar regulatory framework to the one governing equity crowdfunding in several dimensions including: (1) issuers are allowed to offer either secured or unsecured debentures via

 Bangkok, July 8, 2014 ? The SEC will issue regulations on offering of municipal bonds issued by public sector organizations. The regulations will be based on the similar principle as those governing

rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration process in line with the current economic environment, international standards and relevant laws

supporting agent pursuant to the law governing agricultural futures trading shall submit their application for approval to the Office of the Securities and Exchange Commission together with supporting

operator, futures trading manager or futures supporting agent pursuant to the law governing agricultural futures trading shall submit their application for approval to the Office of the Securities and

does not possess prohibited characteristics pursuant to the law governing securities and exchange and notifications issued by virtue of the said law. The letter of certification shall be signed by the

Bangkok, August 28, 2015 ? The SEC has amended rules governing issuers? qualifications to further enhance the efficiency in the securities public offering?s reviewing process of non-listed companies

extension to the time frame of readiness preparation for business commencement in case of necessity. In addition, the regulations governing key aspects of digital asset business operation would be amended