documents and evidence in full from the securities company, except in the case where there is a necessity to conduct further inspection of any facts and the Office has informed the securities company of such
necessity to conduct further inspection of any facts and the Office has informed the securities company of such necessity prior to the end of such period of time. Clause 4. In the case where there appears
additional facts, the SEC Office shall notify the securities company in writing as well as stating the grounds or the period of time required for such consideration, as the case may be. In cases where the
ensure that it is right and proper at all times; (2) the trust manager shall put in place the measure that requires the lessees, the concessionaires, or the operator of infrastructure assets report facts
Administrative Sanction Clause 6. When the SEC Office has gathered the facts and preliminarily considered that any person has the behavior that should be subject to the administrative sanction, the following
on asset allocation, equity funds or alternative funds, excluding tax incentive funds; (3) Disclosing fund facts and warnings on crypto asset exposure clearly for investors’ information. 3
complaint against former director and CEO of Zipmex for making false statements or concealing facts that should have been disclosed to the public,” released on 8 February 2024. https://www.sec.or.th/EN
sufficient material information when voting on relevant agenda items, the SEC, by virtue of Section 58(1) of the Securities and Exchange Act B.E. 2535 (1992), requires CIG to clarify facts and provide
financial statements for the fourth quarter of 2016 to purchase PTL shares through Rahul’s trading account on 23, 24, 26 and 27 May 2016 at the total amount of 465,000 shares. The use of material facts