condition before the investor makes a decision to subscribe such debentures._______________________________ * Crowdfunding is a fund raising from crowd through funding portals typically via the
to speed up the account opening process for investors and supports the SEC Strategic Plan in the area of investor base expansion to allow the general public to access services and capital market
Bangkok, July 23, 2015 ? The SEC has announced organizational restructuring to be more responsive to needs of each stakeholder group. By adopting an ?end-to-end? approach, the restructuring will
SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of
. If issues arise, investors should be able to seek remedies and solutions from protection mechanism, depending on the types of risks and the types of products and their providers. Effective investor
Minority Shareholder. “During the course of assessment, the SEC proactively participated in the revision and promotion of various measures to enhance minority investor protection, resulting in the
the SEC Board to include ordinary person investors in the “institutional investor” category. The revision to the definitions of the term will become effective as from 1 October 2022. This may cause
Real estate-backed ICO is in the form of fundraising and benefit generation similar to REIT. However, the regulations governing real estate-backed ICO with regard to investor protection mechanism
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants