. Clause 2 The Notification of the Securities and Exchange Commission concerning Rules on Exempting the Offer for Sale of Units of Foreign Collective Investment Scheme to Institutional or High Net Worth
must borrow shares from a securities company to prevent failed trades and must later repurchase and return those securities to the securities company. However, short selling transactions may cause
, within the period specified in Clause 55, it appears that the approved Thai Government Agencies for the offer for sale of debt securities to high net worth investors on a program basis have failed to
securities to high net worth investors on a program basis has failed to maintain its qualifications in accordance with Clause 49(1), the approved foreign entity may not offer the debt securities for sale under
of audit firms has been an ongoing challenge, as a result of high turnover rates, coupling with low interests in this profession. With this concern in mind, the SEC and the Association of Chartered
Cycle of Audit Inspection ........................................................ Significant Statistical Information .................................. 02 04 05 08 24 38 40 43 Executive summary High
securities issuers, financial advisors, auditors, market intermediaries, and stock exchanges. Both market integrity and investor protection could not be achieved without high quality financial information
the SEC Office. Clause 53 If, within the period specified in Clause 52, it appears that the approved entity for the offer for sale of bonds to high net worth investors on a program basis has failed to
regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor; “client” means user of an intermediary’s services; “Stock Exchange” means the Stock Exchange of Thailand