) Granting a waiver from an event of default under the terms and conditions in cases where the bond issuer revises the debt repayment conditions and/or engages in debt restructuring negotiations with financial
under Royal Patronage to help lawyers sharpen their capability about class action in capital market cases so that they will be able to deliver justice for investors who were wronged by persons that went
. In a number of cases, the clients authorized the investment consultants to make trading decisions on their behalf. Usually, those clients did not have enough time or viewed that the investment
examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for
risks. For more information and the list of SRI Funds as well as Thailand ESG Funds, please visit: https://sustainablefinance.sec.or.th/Fund. ** Handbook and appendix of examples on good practices in
accommodate the repayment of such liabilities at all times. Examples include proceeds from the sale of securities that government agencies have ordered the business operator to suspend repayment to customers
information disclosure. The additional rules and conditions will also apply; for examples:? Equity offerings must comply with laws and regulations in home jurisdictions.? Laws and regulations on shareholder
trust for transactions in the capital market. Clause 4 This Notification shall not apply in cases where there are other notifications of the SEC Office regarding approval of auditors for any specific
follows: (1) in cases where a securities company appoints a new person as director or manager, or in other cases than (2), the securities company shall submit to the SEC Office the following documents which
from those held in its own capacity and any property in its possession . In cases where the trustee manages several trusts, the trustee shall segregate the trust property of one trust from https