funds, venture capital firms, and ultra-high net worth investors. With respect to individual investors, SEC has received diverse comments involving restrictions on investment in ICO. Therefore, SEC will
include: - disclosure of additional information to cover individual remunerations for executives of the highest rank, e.g., chief executive officer and managing director; - extending the periods for
worth investors, venture capital businesses and private equity funds at an unlimited amount. Investment is capped at no more than 300,000 baht per ICO project for each individual investor, or no more
fundraising opportunities. The SEC is therefore proposing to revise the definition of high net worth investor of infrastructure funds and infrastructure trusts as well from an individual who subscribes
oversight in Thailand, priority is given to supervision of individual auditors, but the competent agency is not given the power to directly supervise the audit firms._________________________
%B8%AA%E0%B8%B4%E0%B8%99%E0%B8%97%E0%B8%A3%E0%B8%B1%E0%B8%9E%... ICGN%20Institutional%20Investor%20Responsibilities_2013.pdf horizons for individual staff members advance alignment with the interests of
determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and
company has determined or has agreed in advance to allow any legal entity or individual to be the shareholder, either directly or indirectly, in the amount exceeding ten percent of the total number of