securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised
client’s asset, which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at
(effective on 16 April 2016). 9 17 (5) for the management of the REIT: (a) there shall be no reasonable suspicion that the mechanism for managing the REIT is unable to protect the rights of the unitholders or
Ministry of Finance. The approval criteria include clear disclosure of information, fairness and compliance ? there must be no grounds of suspicion regarding the issuer's intention to avoid regulatory
information, fairness and compliance ? there must be no grounds of suspicion regarding the issuer's intention to avoid regulatory compliance or exploit investors ? and integrity of directors and executives who
issuance and offer for sale of depositary receipts as another channel for investors to invest in foreign securities by holding or trading such securities. Notwithstanding the foregoing, this Notification
facts with respect to such lack of qualifications in support of its consideration. Clause 16 In cases where any of the following grounds for suspicion appears to the SEC Office, the SEC Office shall not
any of the following grounds for suspicion appears to the SEC Office, the SEC Office shall not approve, suspend or revoke an offer for sale of a private placement of the debt securities, as the case may
shall be deemed the home exchange for trading of shares of a foreign company: (1) an offer for sale by a foreign company whose shares have been traded on a foreign exchange with an offer size in Thailand