Re: Exemption from the Requirements to Submit Registration Statements for the Offer for Sale of Debt Securities
with the relevant criteria may apply for approval of SEC. In addition, SEC will urge awareness and encourage the investors to use the wealth advice service through the approved business operators and
efficiently. Essentially, the proposed revisions cover the following key domains:(1) Establish multiple levels of expected security controls and oversight techniques that apply differently to licensed
interested parties are welcome to submit comments and suggestions via the website or email: debt@sec.or.th. The public hearing ends on 20 December 2023. ________________________Remarks: * The criteria mandate
) Extending the time period for commencing the operation of the business from 180 days to 270 days from the date of obtaining the license. Under the proposed rule, the licensee could apply for an extension of
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
been fully satisfied, the Tender Offeror is obliged to submit the Announcement of Intention to Make a Tender Offer (Form 247-3) to the Securities and Exchange Commission (the “SEC”) within the following
should provide information related to such independent director, e.g., any conflict of interest regarding the matters in the agenda. Q: In what cases is a listed company required to send the
Determination of Other Financial Institutions Eligible to Apply for Securities Business Licenses Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities
business operators who submit their requests to SEC within 90 https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8535 SEC amends rules on quota allocation for foreign exchange transactions of digital