as a juristic person or as a group of persons; (3) a copy of financial statement of the latest three years, or, in case of a registered group of persons, profit and loss statements of the latest
of any restrictions, sharing holding shall not be less than 40% of the voting rights). A Trust for high net-worth investors vs retail investors Key provisions in the regulations governing Infra
rights). A Trust for high net-worth investors vs retail investors Key provisions in the regulations governing Infra Trust regarding high net-worth investors and retail investors are summarized as
integrity. The SEC also oversees regulatory compliance and enforces the governing laws to ensure that the capital market will be developed toward sustainable growth and generate positive impacts on the
additional regulations prescribed by the law governing securities and exchange, preparing a summary of types of auditor's report in a specified form Form 61- 4F , providing explanation or submitting any
specified rules: performing audit works with accountability in accordance with the professional code of ethics, professional standards, and other additional regulations prescribed by the law governing
, etc. There are two types of administrative actions taken by the SEC Office, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain
(public hearings / focus group) 3. นำหลักการเสนอคณะกรรมการ ก.ล.ต. / ก.ต.ท. (กรณี ประกาศสำนักงาน จะไม่มีขั้นตอนนี้) 4. จัดทำร่างประกาศ 5. เปิดรับฟังความคิดเห็นร่างประกาศ (public hearings / focus group) 7
with the offering price lower than 90 percent of the market price, to a specific investor or group of investors whether in private or public. Calculations of the offering price Shares
Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1