capital market. The Securities and Exchange Commission (“SEC") adopts various aspects of approaches to regulate debt securities. These approaches include: Approval – issuers are required to apply for the
> Equity Instrument Regulations SHARE : Detail Content Equity Instruments Regulations on equity instruments are aimed at creating a balance between the protection of investors and effective fund mobilization
Regulations Provisions relating to Offer for Sale of Shares Issued by Foreign Company Whose Shares Are Not Traded on Foreign Exchange (Codified) Provisions relating to Offer for Sale of Securities Issued by
of mutual fund (1) Upon completion of the initial public offering (IPO), if the number of unitholders are less than 35, or the sale of the investment units does not comply with the rules, the approval
there are adequate measures to manage conflicts of interest; There is no reason to doubt that the management mechanism will be unable to protect the rights of the shareholders or to treat the shareholders
the system to disclose information as specified by the SET. A listed company is prohibited from offering shares to a subsidiary. If the persons being allocated shares are related persons, the listed
units are repurchased. In this case, any holidays in a foreign country will not be counted as business days; (4) For other cases, not exceeding five business days from the day the investment units are
Before the initial public offering (IPO) (1) The mutual fund obtaining a normal approval for fund establishment may amend the scheme; (2) The mutual fund obtaining an auto-approval are not allowed