investment in shares of limited companies, these can be offered for sale to more than 50 investors only if the offeror must put in place the following mechanism for protection of shareholder’s rights: (a

is an initiative under the ACMF Implementation Plan endorsed by the ASEAN Finance Ministers in 2009. The Framework aims to facilitate cross-border offerings of Equity Securities and Plain Debt

at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false

. The current rules require both the issuers as well as all affiliates that engage in the main business of a group of companies to meet the qualifications and disclose information in the Filing Form

prospectus to ensure that investors would receive sufficient and appropriate information for their decision making without the misunderstanding that a term fund is a cash deposit in a commercial bank and

regard, the SEC urges investors to be cautious in making use of news coverage on securities offering or fund establishment and listed companies? profit forecast, if it has not approved by the SEC or not

Bangkok, 25 January 2018 ? The SEC is seeking public comments on a draft amendment to the rules governing issuance and offering of derivative warrants (DW) to require additional and continuing

disclosure, a prospectus, progress reports of a project and use of proceeds. The offering of digital token must be made through ICO portals approved by SEC Board. The role of ICO portal is to perform due

debentures, bills of exchange (B/E) and derivative warrants (DW), allotment to the related persons will be allowed in the similar manner as that to general investors. The revised regulations aim to strike a

Bangkok, 19 September 2016 ? The SEC is seeking public comments on the proposed revision to the disclosure of information in the prospectus and fact sheet of retail mutual funds to present a clearer