duties in accordance with standards, or is disqualified, the SEC shall command improvements in its practices, suspensions of its license for a specified period of time, or even a revocation of its license
FAs disseminate the information that is not contained in the filing; Together with the issuers, clarifying to the SEC the following occurrences when arising within one year ( for Thai issuing companies
Thai baht; 3) Not having the characteristics of structured notes ( except there is a put option or the convertibility requirements); 4) In case of subordinated instruments that are convertible, the rates
FAs disseminate the information that is not contained in the filing; Together with the issuers, clarifying to the SEC the following occurrences when arising within one year ( for Thai issuing companies
of the year that such solicitations occurred. * Please note that CIS Operator who is offering foreign ETF in Thailand will have to comply with the requirements of the Stock Exchange of Thailand
Thai baht; 3) Not having the characteristics of structured notes ( except there is a put option or the convertibility requirements); 4) In case of subordinated instruments that are convertible, the rates
application for offer for sale of units. A Financial Advisor (FA)* is required to jointly submit the application and certifies the correctness of the information. ** In case that the RM manages other REITs
correctness of information provided. 2. Listing in the Stock Exchange no restrictions listing in the Stock Exchange is required 3. Offer for sale through an underwriter no restrictions with restrictions 4
. (Available in Thai only). (2) Financial Advisor A Financial Advisor is a professional approved by the Securities and Exchange Commission to render financial advisory services, give opinions, prepare
correctness of information provided. 2. Listing in the Stock Exchange no restrictions listing in the Stock Exchange is required 3. Offer for sale through an underwriter no restrictions with restrictions 4