institutional investors without requiring to assess the qualifications of the underlying clients for investor classification purposes*. This approach is based on the fact that private funds are managed by

most recent financial statements or the consolidated financial statements, excluding companies operating financial institution business;    (2)  Requiring listed companies with the characteristics under

Investors (HNW) as well, and 2) requiring a statement on the bill in case of offering for sale to UHNW or HNW for clarity and consistency with the operating guidelines.  The Notification concerning the

crowdfunding;            (2)  Requiring bondholders’ representatives to have paid-up registered capital of at least 25 million baht, which is comparable to securities companies maintaining clients' assets in

business operators and low-risk operators, requiring submission every three years or upon occurrence of a widespread adverse incident;     (2) To adjust submission of risk level assessment (RLA) forms and IT

revise the client asset and transaction reports for business operators, requiring detailed data broken down by each individual client and each security. Business operators would be required to submit

Earlier, the Civil Sanction Committee (CSC) resolved to impose civil sanctions on 12 offenders* for manipulating the share price of Scan Inter Public Company Limited (SCN), requiring them to pay the

bonds. The SEC has therefore amended the governing rules with the following key points:    (1)  Specifying NC bond as a high-risk or complex capital market product;    (2)  Requiring the offering of NC

. Most of the respondents expressed agreement with the principle proposed.Therefore, SEC has drafted a notification requiring asset management companies and trust managers which make a projection of

an emphasis on key warnings, and (2) requiring a test of investors’ knowledge before first-time investment to assess investors’ investment suitability, which can be used as a tool for the seller to