Bangkok, March 27, 2012 ? The SEC is seeking public comments on a draft regulation requiring underwriter to develop suitability test for the sale of shares and debt securities. Suitability test will
seeking unitholders? resolutions. The rules governing debt-liked investment units and the rules on seeking unit-holders? resolutions for capital reduction will also be revised with the aim of clarifying and
in various activity zones. To begin with, investment product zone introduces the capital market products including equities, debt securities, mutual funds, LTF/RMF, real estate investment trust (REIT
; and access information sources for investment decision making. At SEC booth, ?Bond Supermart? is also introduced to ease trading debt securities in the secondary market. Specially, start-to-invest
investor protection.In addition, the SEC proposes to amend the regulatory framework to enhance the clarity and consistency of disclosure requirements for sustainability-related debt instruments across all
bondholders’ representative for All Inspire Development Public Company Limited (“ALL”), failed to verify the debt obligations on the condominium units provided as collateral prior to the registration of such
.pdf ethical.doc Relationships: Are there any business relationships between the firm, principals or staff or their family members and the audit client or its affiliates? e.g. joint ventures, joint
brokerage firm stating that {C} sent trading orders through client's account without evidence of trading orders from client. The SEC investigated on the case and found that there were trading orders in
individuals are banned from engaging in or associating with any securities or derivatives business firm and their registrations with the SEC as securities business personnel have been revoked. The findings in