liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to
and Submission of PVD Factsheet, divided into two cases, i.e.: In case of adding a new investment policy to the existing PVD, the asset management company (AMC) is required to disclose the PVD
proposed regulations can be summarized as follows: 1. Disclosure and submission of PVD Factsheet 1.1 In case of adding a new investment policy to the existing PVD, the AMC would be required to disclose
Bangkok, September 11, 2014 ?The SEC is seeking public comment on draft regulations on termination of listed company?s duty to disclose information under Section 56 and duty of directors and
companies will be required to disclose additional information such as portfolio turnover ratio (PTR), trading costs, and trigger fund. The consultation paper is available on www.sec.or.th. Stakeholders and
securities via his nominee's securities account but failed to prepare and disclose report on changing in his holding (Form 59-2) to the SEC Office within the period specified in the notification of the
account but failed to prepare and disclose report on change in her securities to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. Mr. Sasavat later
COL securities via his nominee's securities account but failed to prepare and disclose report on changing in his holding (Form 59-2) to the SEC Office within the period specified in the
Mr. Porameth Rungrongtanin Mr. Porameth Rungrongtanin made a tender offer on behalf of Mr. Sathit Roongwatanapak but Mr. Porameth did not disclose in tender offer report (Form 247-4) on September