unlicensed broker-dealer securities business under the names of Benson Dupont Capital Management and Morgan Pacific, which sold shares of five listed companies in the U.S. to investors benefitting from trading
cases of listed companies offering shares or share warrants, the allotment to the related persons is permitted with disclosure of details on the allotment in notice calling for shareholders? meeting to
funds for accredited investors (AIs) investing in securities listed on the exchanges in the Greater Mekong Sub-region (GMS) and mutual fund without derivatives investment limit. The SEC also urged the
infrastructure trust publicly offered, at least 70 percent of its investment must be in the projects having commercial revenues and the units must be listed on the Stock Exchange of Thailand. For infrastructure
สุจริตกุล เลขาธิการ ก.ล.ต. เปิดเผยว่า ?คณะกรรมการกำกับตลาดทุน มีมติเห็นชอบการปรับปรุงหลักเกณฑ์เกี่ยวกับคุณสมบัติของบริษัทนอกตลาดหลักทรัพย์ (non-listed company) ที่จะยื่นคำขออนุญาตเสนอขายหลักทรัพย์ที่ออก
working groups: (1) Connectivity Working Group (CWG), which includes initiatives: the development of ASEAN Indices, the implementation of the ASEAN Diamonds initiative to identify high‑potential listed
for tracking fund flows; and enhancing transparency and auditability through the disclosure of material information by listed companies.Accordingly, the SEC will continue to closely monitor
ที่ตอบ: 30/01/2558 คำถาม: กรณีบริษัท non-listed ออกหุ้นกู้แบบ PO เสนอขายเสร็จแล้ว ต่อมามีการ restated งบการเงิน (เช่น เปลี่ยนแปลงนโยบายการบัญชีแล้ว
executive at any issuing or listed companies for 1 year and functioning as capital market personnel for 3 years. SEC Act (before the fifth amendment) Section 241 and 241 Civil Action Dated 16/06/2017
from holding the position of director or executive at any issuing or listed companies for 2 years from 22 June 2018 to 21 June 2020. SEC Act (before the fifth amendment) Section 241 Civil Action