types: (1) a retail trust which is a trust without the restriction under (2); (2) a major investor trust that the unitholders of which are restricted to major investors. Chapter 2 Application and
Thailand. The offering documents and the Thai covering document shall not contain any information that would be inconsistent with the offering documents authorised by the SFC and/or inaccurate/misleading
, and the intermediary shall take the following acts at a minimum: (1) inform the foreign personnel of the scope of performance of duty; (2) ensure that the giving of information or advice is restricted
; (2) ensure that the giving of information or advice is restricted only to the capital products denominated in foreign currency for which the intermediary is allowed to provide services; (3) inform the
; (2) ensure that the giving of information or advice is restricted only to the capital products denominated in foreign currency for which the intermediary is allowed to provide services; (3) inform the
false statement/ Dissenimation of false or misleading information 1 5 5,000,000.00 - 153,310.00 - - Market manipulation 3 6 83,000,000.00 131,227.00 48,638.00 2 15 Insider trading / Disclose inside
documents approved by the SEC and/or inaccurate/misleading regarding the Thai Covered Fund. 29. The Thai Covered Management Company of a Thai Covered Fund must take reasonable steps and measures to ensure
false statement/ Dissenimation of false or misleading information 0 0 - - 0 0 1 1 Market manipulation 0 0 4 68 0 0 1 14 Insider trading / Disclose inside information 0 0 1 3 0 0 - - Takeover - - - - 1 1
1 แบบแสดงรายการขอ้มลูการเสนอขายหลักทรัพย ์ (แบบ 69-ASEAN) แบบแสดงรายการขอ้มลูการเสนอขายหลักทรัพย ์ กรณีบรษัิทไทยเสนอขายหลักทรัพยใ์นไทยและประเทศกลุม่อาเซยีนพรอ้มกนัหรอืในเวลาใกลเ้คยีงกนั Registration Statement for Thai-incorporated Company to offer for sale of securities in Thailand and ASEAN member country simultaneously or in proximate period (ชือ่บรษัิททีเ่สนอขายหลักทรัพย)์ (Commercial Name of the Issuer) - ใหร้ะบลุกัษณะทีส่ าคญัของหลักทรัพยท์ีเ่สนอขาย เชน่ ประเภทหลกัทรัพย ์จ านวน ราคาเสนอขายต...
displaying information in accordance with the following criteria: (1) using language that is easily understood; (2) not displaying language or information that is false, exaggerated, misleading or may cause