trustee account; ensure that the units are not allocated to investors who are not high net-worth, in case of offer for sale solely to high net-worth investors; oversee to prevent the trust from becoming a
Regulations SHARE : Detail Content Enforcement The SEC is a regulatory body that carries a mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and
high net-worth, in case of offer for sale solely to high net-worth investors; oversee to prevent the trust from becoming a private trust; perform duties as required by laws and provisions set out in the
under its responsibility Ensure that units offered for sale exclusively for high net worth investors are not allocated to retail investors Oversee to ensure that the trust is not becoming a private trust
supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality of financial report to ensure that public disclosure of financial report is accurate, transparent
required to regularly supervise the service providers to ensure efficiency of the performance (except for group 2 functions). Applying for Approval and Reporting Guidelines No prior approval or
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the effects on shareholders: In case of a possible high dilution effect: Means the number of shares being offered is > five percent of paid-up shares at the date of the decision of the shareholders
receiving a payment for a securities trading for any person; 5. Placing money or other assets as collateral for securities trading of any person; 6. Allowing any person to receive benefits or oversee payment