provide services with loyalty* by committing wrongful acts against investors’ assets, which was an offense liable to revocation of approval as investment consultant. However, the approval as securities

. The current rules require both the issuers as well as all affiliates that engage in the main business of a group of companies to meet the qualifications and disclose information in the Filing Form

2012 issued regulations on the offering of ASEAN CIS to non-retail investors. This new regulation will be a codified set of new and existing regulations to accommodate both offerings to retail and non

, Thailand (SEC) and the Singapore Exchange (SGX) have signed a Memorandum of Understanding (MOU) to establish a Streamlined Review Framework for the ASEAN Common Prospectus. The Streamlined Review Framework

Bangkok, 25 January 2018 ? The SEC is seeking public comments on a draft amendment to the rules governing issuance and offering of derivative warrants (DW) to require additional and continuing

Bangkok, 15 May 2018 ? The SEC will conduct a public hearing on draft regulations to be issued by virtue of the Royal Decree on the Digital Asset Businesses B.E. 2561 (2018), which has become

applicant and group of parent company.  {A}'s actions were considered as failure to comply with the Notification of the SEC Office concerning approval of financial advisor and scope of performance while {X1

concentration risk due to investment in products of any single issuer. Under such conditions, a credit risk on any specific issuer in a term fund’s portfolio could adversely affect the net asset value of the

investment in shares of limited companies, these can be offered for sale to more than 50 investors only if the offeror must put in place the following mechanism for protection of shareholder’s rights: (a

disclosure, a prospectus, progress reports of a project and use of proceeds. The offering of digital token must be made through ICO portals approved by SEC Board. The role of ICO portal is to perform due