Bangkok, June 12, 2015 ?The SEC is seeking public comments on proposed definition of qualified investor or angel investor for the purpose of investment in equity crowdfunding. This type of investor
types of securities business license, namely (1) Type E Securities Business License* for equity instruments, and (2) Private Fund Management License. The proposed amendment aims to increase choices of
require that issuers of any type of debt securities use the same standardized factsheet form which accommodates product type-specific disclosure, for example, plain debentures, structured notes, securitized
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
instruments type 1** for {A} for a period of 12 months, and the approval as investment consultant for complex instruments type 1 and investment planner for {B} for a period of 12 months***, starting from 9
institutional investors or ultra high net worth investors to invest in any type of financial assets and instruments without restrictions, (2) cancellation of private fund types, i.e., retail and non-retail
Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board recently resolved to approve additional type of mutual fund selling agents which must: (1) be state enterprise which is non
competitiveness in the international market; the collection criteria would be simplified in appropriate proportion to the business size and volume of each type of intermediaries. In any case, minimum and maximum
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
market personnel for ease-of-use; for example, qualifications, approval process, and duties of the capital market personnel. The draft rules also include a wealth advisor as a new type of capital market