, such bills must be accompanied by solicitation or advertisement of the issuance of the bills for the purpose of raising fund from more than 10 entities at any given time, including individuals holding
an emphasis on key warnings, and (2) requiring a test of investors’ knowledge before first-time investment to assess investors’ investment suitability, which can be used as a tool for the seller to
a fine on him in the amount of 5,420,324 baht.In addition, Sermkhun did not file with the SEC the reports on changes of his CMO shareholding within the specified period of time despite the fact that
, the current submission period may be inconsistent with the current situation. The SEC is therefore conducting the public hearing on the proposed principles and draft regulations on extension of the
Bangkok, December 4, 2014 ? The SEC is seeking public comment on a proposal on crowdfunding supervision, aiming to introduce a new fundraising channel for small and medium sized enterprises in
out and paid to the unitholders at a price higher than the market price at the time. Chanyarat used the information above to buy UOB8TF units into her securities account during 20 August 2015 – 11
revise the definition of bills that are considered as securities as follows: (1) being bills of exchange or promissory notes issued to the holder, representing the rights on such bills, to more than 10
the civil monetary penalties above, the SEC released a public warning against solicitation for investment in Mandawee Tour on 11 August 2017 around the time when the SEC received the referrals to the
unitholders attending the meetings or sending the vote letter if it is a resolution on general matters such as changing the fund type from a closed-end fund to an open-end fund or merging funds to reduce
Kiara, Bukit Kiara 50490 Kuala Lumpur (Attention: Authorisation and Licensing Department) Submission of applications can be made on a business day in Malaysia between 9.00am to 5.00pm Malaysian time. Any