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
Criminal action is a type of law enforcement against any person who acts or omits to act in violation of the laws administered by the SEC. Criminal actions are divided into two groups, namely: (a) criminal
(in case of secured Basel III-compliant Instruments/ Basel III-compliant Instruments with a bondholders' representative). - Application shall be submitted for an approval. The following qualifications
may also be submitted to SEC Complaint Center. The list of the licensed intermediaries is available here . ● A claim for damages should be made directly to the compliance unit of the company in
on the approval for the offer for sale of debt securities in a public offering (PO) or the offer for sale of certain types of debt securities would require credit rating to be arranged by an approved
> Infrastructure Trust Regulations SHARE : Detail Content Infrastructure Trust Regulatory Summary Related Rules and Regulations An Infrastructure Trust (Infra Trust) is a fund mobilizing tool for an investment in
an offer for sale of REIT units A REIT Manager (RM) has the duty to file an application for offer for sale of units. A Financial Advisor (FA)* is required to jointly submit the application and
digital asset on behalf of their clients, does not fall within the activity of a digital asset custodial wallet provider under the law. This is to reduce additional burdens and costs on these digital asset
SHARE : SEC public warning of solicitation for investment in digital assets Tuesday 18 February 2020 | No. 28 / 2020 Bangkok, 18 February 2020 – SEC is advising the public to be cautious about the
between other operations and digital asset business with an exception for appropriate and efficient mechanisms to prevent a conflict of interest in place, annual financial statements approved by an auditor