The material events in the proposed rules are those already specified and currently required by the Stock Exchange of Thailand (SET) to be reported by listed companies. The proposed rules would allow
on investment advisor via crowdsourcing which are required to be granted SEC licenses. Investment advice must be made to general, not specific, investors and must be independent advice without
Businesses, dated 3 July 2018) is to be revoked; 2) DA operators are to be required to seek approval from their CEO* before launching any advertisement. Additionally, DA operator’s Compliance
PE Trust status with the SEC and transfer unit trusts to others in accordance with the investment and condition requirements as prescribed by the Revenue Department. Currently, PE trustees are required
revisions, the business operators will be required to have in place a sound internal control system, by taking into account the utmost interest of customers, for preventing the use of inside information and
the name of instruments comply with the requirements. Face value of bills - - - Fast Track - - - Period of time required in observing + considering the application Observation and consideration period
to the existing PVD, the AMC would be required to disclose the PVD factsheet of the newly added investment policy before offering such investment policy to PVD’s fund committees. For a pooled fund, the
capital market. The Securities and Exchange Commission (“SEC") adopts various aspects of approaches to regulate debt securities. These approaches include: Approval – issuers are required to apply for the
AMC would be required to disclose the PVD factsheet of the newly added investment policy before offering such investment policy to PVD’s fund committees. For a pooled fund, the AMC would be required to
baht or more (unless an exemption is provided to allow offering of bills). - Fast track - - - - Period of time required in observing + considering the application - - 15 days for the consideration