prevent holding company from having characteristics similar to investment company, the SEC specifies that the size of core business and other businesses that holding company holds shares, when compared with
. ASEAN CIS to be offered must share similar substances with mutual funds allowed to establish in Thailand and be offered for sale through ASEAN CIS selling agent which is a licensed securities broker
organized seminars at two other hotels in Bangkok and Chiang Rai Province to solicit investments in a similar manner. Mandawee Tour's misconduct of securities offering in the category of debenture without
suspension on {A}, effective from 1 November 2017. In the case of {B}, she committed similar acts by signing on the subscription order of a client without contacting or giving advice to the client. Instead
of businesses in a wider range of industries. In addition, SEC is planning to waive approval and filing fees for SLB issuance, similar to Green Bond, Social Bond and Sustainability Bond, as SLB
trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital
prices were within the range which the client previously expressed interest in. She thought that the shares could be sold to take profit in the similar manner as the client's purchase made in the morning
earnings in the latest fiscal financial statements. In addition, they must provide advantages to their own provinces and are interested to raise fund through the stock exchange.? All the criteria are similar
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
dispose of their assets after the expiration of asset freeze order while similar circumstances and conditions were also found in case of Somchai who had escaped, the SEC with the approval of the SEC Board