offering must be in compliance with the SEC regulations. In case of a social enterprise, a waiver of approval application and filing with SEC can only be granted if the offeror is a social enterprise
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
The SEC held a group meeting with nine organizations to integrate collaboration to prevent and suppress digital asset-related frauds and promote investor education regarding digital asset
misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He
legal execution against offenders. It is the integration of collaboration between the three agencies, supporting the functions of each agency including exchanging information, knowledge and expertise in
for investment decision making. SEC Secretary-General Vorapol Socatiyanurak said the SEC in collaboration with the Association of Thai Securities Companies (ASCO) urges each securities house to conduct
Exemption from Submitting the Registration Statement In case of Non-public Offering Securities Issued by Foreign Company
Exemption from Submitting Registration Statement for Offer for Sale of Shares Issued by Foreign Company in case of Private Placement