(2018) whereby an application for a license would be required to be submitted to SEC. Such applicant shall meet the qualifications, and the application be made according to the regulations prior to
the untrustworthy characteristics. 4. In case of foreign companies, 4.1 Offering of the bonds is legally made under the foreign laws and regulations. 4.2 Representative is appointed in Thailand
for sale of newly issued securities to directors or employee, where the offer is made by a subsidiary which is non-listed and report on the results of sale of securities Checklist for ESOP for the offer
Announcement of the NAV (1) The mutual fund supervisor shall approve the NAV and values; ( 2) The announcement shall be made through all appropriate channels and by all means to ensure that the investment
. - If the offering is made to HNW who is not a person related to the issuer, it shall be made through intermediaries. - Applicable to the offering of bonds only. - For the offering of bonds, the approval
II or HNW. - If the offering is made to HNW who is not a person related to the issuer, it shall be made through intermediaries. - Applicable to the offering of bonds only. - For the offering of bonds
persons related to the issuer or II or HNW. - If the offering is made to HNW who is not a person related to the issuer, it shall be made through intermediaries. - The approval will be granted upon the
date shall comply with the revised regulations within 90 days of the effective date. ______________________ Remarks: Three related notifications have been made available on the SEC web site, as follows
securities offering and ongoing process which includes pre-fundraising screening, effective trading monitoring system, and legal enforcement function. In addition, more efforts will be made to ensure that the
digital token offering with limited number of investors, limited fund-raising amount or limited type of investors. Such offer must be made to: (1) no more than 50 founders or parties related to a project in