registered bidders who are not deemed as a connect person of the Company, the Company will also allow the registration only to accommodate the communication and cooperation with them, as well as to provide
appointment of Silom Advisory Company Limited, an approved financial advisor by The Securities and Exchange Commission, as independent financial advisor (IFA) to provide opinions to shareholders on the asset
Company Limited, an approved financial advisor by The Securities and Exchange Commission, as independent financial advisor (IFA) to provide opinions to shareholders on the asset acquisition transaction of
Currently, investors are usually required to provide a lot of information each time they request services from an intermediary and must repeat the process via different forms when using services of
custody without the objective of custodial service business as in the case of DA issuers who provide custody of self-issued DA to their clients. The SEC therefore views it is appropriate to revise the
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
provide more flexibility to Thai securities companies who request the personnel of foreign business operators to provide investment advices on foreign products to Thai investors. The proposed revisions
require financial advice and planning service from advisors who are knowledgeable, provide quality services and are considerate of interest of the customers. Hence, the “Wealth Advice for All” project was
SEC Thailand, as the host of the 30th ASEAN Capital Markets Forum (ACMF) on 18 March 2019, and other ASEAN regulators endorsed the Roadmap on ASEAN Sustainable Capital Markets to provide clear
(2018-2037). In this regard, the SEC has revised the SMEs share offering rules to provide SMEs with wider choices of fundraising channels, including share offering to the issuer’s group of companies