operation of securities businesses by the virtue of provisions under the Securities and Exchange Act B.E 2535 only. In so doing, the association must acquire a license and register with the SEC. The SEC
reporting disclosed to the public. The SEC requires the auditor in the capital market to attach to the audit firm equipped with audit quality control system. These efforts will support the Thai capital market
independence from the profession in the same way as specified by IOSCO. To support competitiveness of Thai listed companies and improvement of financial statements to conform to the international standards, the
Issued Shares in Support of Convertible Debentures or Warrant on Debentures (Form 81-2) Report of Sale of Securities (Form 81-1) Application for Approval of Listed Companies to Offer Newly Issued Shares
utility functions include the functions such as support services for investment units dealings and fund management in a fund service platform which is carried out by Thailand Securities Depository Co., Ltd
over two-third of the fund will benefit the unitholders. (7) The mutual fund management company suspects the investors of involvement in an offense of money laundering or financial support to terrorist
over two-third of the fund will benefit the unitholders. (7) The mutual fund management company suspects the investors of involvement in an offense of money laundering or financial support to terrorist
initial issues that the injured person should realize before participating in Class Action. Firstly, the plaintiff who commences the case shall acquire the right to be a member of the class in good faith
initial issues that the injured person should realize before participating in Class Action. Firstly, the plaintiff who commences the case shall acquire the right to be a member of the class in good faith
international standards to allow investors to have sufficient information to support their investment decision making. Sales reports – issuers are required to report the sales of debt securities to the SEC within