formal meeting invitation was prompted by the urgency of the matter. The meeting was therefore conducted virtually via telephone instead. Given the significance of the case concerning the duties of listed
may consider further extension. If the AGM 2020 agenda contains only matters for acknowledgement, asset management companies and REIT managers may choose to send out such information instead of
begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less
stability of the high yield bond market as well as offer an alternative for high net worth investors to make investments through professionals instead of investing directly in such instrument.Earlier, on 16
collectively and concurrently and the consideration is divided into three areas, namely (1) acceptance of reports via electronic system instead of hardcopy submission, (2) discontinuation of reports to the
; (2) Determining the approval application fee for an appraisal company to be 50,000 baht and for a lead appraiser to be 10,000 baht per 5 years, instead of per 2 years at present, resulting in
undue burden to the business. SEC, therefore, proposes to amend the regulations by requiring the business operators to submit the report in electronic form instead of paper in order to reduce burden on
suspension on {A}, effective from 1 November 2017. In the case of {B}, she committed similar acts by signing on the subscription order of a client without contacting or giving advice to the client. Instead
, identification number, bank account number and contact information. Instead, the AMCs practically make the payment out of the fund by issuing cheques to PVD members after being notified by their employers about
securities transfer forms several times instead of the ones officially recorded on the client database, and affixed signature as branch manager to approve certain securities transfers.Phillip Securities