required to observe the following : 1 . NC or NCR ≤ 1 . 5 times of minimum requirement ( early warning level ) that is 1 . 1 For the case of securities company operating only securities or
mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which the fund management company reserved the rights (only for accepting purchasing orders) as provided for
) (e) financial reporting standards recognized or specified by home regulator, or related laws and relevant rules of foreign country where its business has established, only if the foreign company has
> Fundraising > Equity Instrument > Share > Private Placement (PP) of shares: in case of a non-listed company in the stock market Regulations SHARE : Detail Content Equity Instruments Shares Private
Content Investment Consultant/Investment Planner Related Manuals and Guidelines Practical guidelines (Thai Version Only) Frequently Asked Questions ( FAQ ) (Tha i Version Only) R ules on
) Public Offering (PO) Approval Qualifications and approval rules - Applicable to the offering of bonds only. - For the offering of bonds, the approval will be granted upon the registration of the
features of the bills. - Can be offered only to persons related to the issuer [1] or II or HNW. - If the offering is made to HNW who is not a person related to the issuer, it shall be made through
constant NAV (MMF constant NAV) Investment in funds under the same mutual fund management company https://www.sec.or.th/EN/Pages/LawandRegulations/Preparationoffinancialstatements.aspx English (United States
(ESOP) is a tool to create motivation for personnel of the company to work effectively to promote the growth of the company by providing opportunity for directors and employee to take part in the