materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
ethics and professional standards of conduct. In the case where the performance of duty involves non-public information, operational rules for the prevention of the disclosure of confidential information
non-public information, operational rules for the prevention of the disclosure of confidential information should be prescribed. 4. Criteria for selection of personnel for each unit shall encompass the
and amendments in October –November 2024, for which the majority of respondents expressed support. The SEC has issued 13 notifications concerning the amendments** with key points as follows: (1
disclosure CRAs should make disclosure and transparency an objective of their ratings activities; and Confidential information CRAs should maintain in confidence all non-public information communicated to them
Thailand re: Disclosure of Information and Other Acts of Listed Companies Concerning Acquisition or Disposal of Assets B.E. 2547 dated 29 October 2004 (Notifications on Acquisition or Disposal). Based on the
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines in compliance with Notification of the Securities and Exchange Commission Re
the Acquisition and Disposition of Assets B.E. 2547 (2004) dated October 29, 2004 and its amendment (the “Notifications on Acquisition or Disposition of Assets”). Upon calculation of the transaction