in any particular case. If an offender fails to pay a civil penalty, in full or in part despite already agreed upon, or refuses to comply with a civil sanction, the SEC may seek the Civil Court's
of investment returns, currently Asset Management or REIT manager can disclose the funds’ estimated returns in an accounting period in the prospectus on a voluntary basis. As part of the new
Bangkok, December 13, 2010 ? The SEC will impose the revised rules governing approval of share issuance for public offering on January 1, 2011. The amendment is part of the SEC?s move toward
, as part of the charge.The prosecution has resulted in the aforesaid persons unqualified for holding the positions of director or executive of any issuing or listed company while they are under legal
in part of disclosure of financial condition and operational result, corporate governance and business takeover will be relaxed. Such foreign company will, however, be required to comply with foreign
education and public healthcare. Meanwhile, investors will have an opportunity to take part in the country development and more long-term investment choices. The SEC thus backs fund mobilization through
membership can now be disclosed in the annual registration statement, lately including anti-corruption as a part of disclosure on the listed company?s best practices. The disclosure will also be disseminated
fund scheme is not allowed. In addition, should past success of any trigger fund is part of an advertisment, the responsible intermediary must also disclose accurate and complete information on all
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this