. Regulations on issuing equity instruments are aimed at protecting the following group of investors: New investors purchasing securities – the company is required to have appropriate qualifications and disclose
assessment. Protecting Minority Investors The SEC office has involved and supported in the Protection of Minority Investors Topic along with the Department of Business Development, the Ministry of
Thailand for not protecting the rights of shareholders, treating shareholders unfairly or failing to disclose complete and accurate information. 2. Normal track case for cases which are not fast track
while focusing on protecting and safeguarding the best interests of the investors. 1.4 The private fund management company shall not follow orders of the clients without any considerations and judgments
; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing investment units from an asset management company which offered for sale of investment units by
inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2. Placing a
representative or the mutual fund supervisor fails to act in compliance with his or her power and duties; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing