investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in
”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and
system provided on the Office’s website. Clause 22/2 The information on the offering distributed through an advertisement shall be correct and not misleading. In this regard, the management company shall
record and firm’s profile in the form as publicized in the SEC’s website. Signature of the applicant is required. (3) Certification of auditor’s professional qualification in the form as publicized in the
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the
website ของสำนักงาน ที่ www.sec.or.th ภายใต้หัวข้อบริการออนไลน์ แบบรายงาน งบการเงิน (บ.ล. 1 บ.ล. 1.1) ทั้งนี้ สำนักงานขอความร่วมมือให้บริษัทหลักทรัพย์ยังคงส่งรายงานดังกล่าว ในรูปแบบเอกสารด้วยเฉพาะงวดครึ่งปี
with this, such report shall be according to the rules and procedures as specified on the SEC Office’s website; In case of offering for sale of bonds under the Notification of the Capital Market
be applicable to the outsourcing of operational function of an intermediary to third parties in order to increase flexibility and efficiency of business operation of the intermediary . In this regard
the excel-file-via-email method. Intermediaries may submit the daily status report by filling in the online form available on the SEC website or by preparing a text file according to the Enclosures 1