company is allowed to advertise, except for the advertising made pursuant to Chapter 2 which must be approved by the Office prior to distribution. (UNOFFICIAL TRANSLATION) 3 Clause 5. To advertise, in any

reason for issuing this Notification is to ensure that the advertisement concerning investment units’ sale promotion and providing of services related to fund management is appropriate in terms of content

” means any mutual fund which has specified in its scheme the actual real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and

) “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and develop securities business in the category of

eligible shares for voting. 2. Real estate must be a project with finished construction and is ready to generate income. Investment is made at more than 80% of the project.3. Investment must not be in

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

approved ICO portal must show readiness of the overall work systems within 180 days from the date of approval. The deadline for the first-year operating fee is also amended to be paid before the first date

to the following cases taking place at different branches:   (1)  In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual

documents in order to lure the investors into believing that their subscription transactions had been executed and recorded when in fact Napasook did not use the money to subscribe for the fund units as

for every case even though it will be offered via private placement. For example, the normal regulations will be obstacles in the process of pre-ICO and private sale.Therefore, SEC intends to relax