Placement (PP) – in case of a non-listed company The nature of offers is one of the following: The value of offer is ≤ 20 million baht. There are ≤ 50 investors. Being an institutional investor. No need to
world, has enhanced the SEC’s ability to cooperate and request information from other jurisdictions, which will ultimately enhance the SEC’s enforcement capabilities. This reflects SEC’s continued
. However, the company must comply with the following conditions: It must comply with the rules on the protection of investor (ESOP rules). It must be approved by the shareholders' meeting and the sale must
(Inspection of the director and executive's qualification on the company's request) (Form 35-E2) Letter of Request for Checking the Qualifications of Director and Executive (Inspection of the director and
es Investor Alert Enforcement Fundraising Securities Issuing Companies Takeover Professionals Intermediaries List of Securities Businesses / Derivatives Businesses Asset
/ Derivatives Businesses Securities Brokerage Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name 4. Changing mutual fund supervisor 5. Reducing mutual fund fees or expenses (2) Amendments that might request an
of the collecting of personal data. Right to access: You have the right to access or obtain a copy of your personal data, and to request the disclosure of the source of your personal data. Right to
2033 9999 or e-mail: complaint@sec.or.th Facebook page for investor education “start-to-invest" and "Happy PVD" SEC and Investors Be Wary of Investment Fraud Investment Governance Code for