for equity crowdfunding. Furthermore, in the case of ICOs, imposing the aggregate limit would not be an effective investor protection mechanism. This is because it would be very difficult to enforce and
expects the companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of
contact, solicit or advise their customers, the Office expects the companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives
_____________________ ) Form 69 – CIS material update (effective date on _____________________ ) Form 69 – CIS material update (effective date on _____________________ ) Warnings: An investor considering the purchase
: Website: Contact person: Email: CIS operator is under the supervision of: Name of local representative: Contact person: Email: Name of local intermediary: Contact person: Email: Warnings: An investor
amend the Securities and Exchange Act B.E. 2535 (1992), with the intention to more effective law enforcement and investor protection. Being a proud member of the International Forum of Independent Audit
. Effective enforcement would increase investor confidence and reduce regulator’s costs in relation to examination for the evidence to prove beyond a reasonable doubt. 3. Class action lawsuits would lower the
study and recommending guidelines to (1) improve taxation systems, and (2) improve investor protection through effective cross-border dispute resolution mechanism and enforcement
Director or Executive, but not the position of Manager, of the securities company prior to the effective date of this Notification shall continue to be Category A investor contact and perform the duties of
Director or Executive, but not the position of Manager, of the securities company prior to the effective date of this Notification shall continue to be Category A investor contact and perform the duties of