comments gathered earlier from the hearing on the guiding principles in July this year, and made further revisions to enhance flexibility and appropriateness in practice.Essentially, the rules would revise
investors? best interest. This regulatory revision is part of the SEC?s three-year strategic plan to improve the overall market ecosystem regarding capital market product governance. The key points of
interested shareholders to be approved. In this regard, the SEC suggested SUPER shareholders carefully study relevant information, make inquiry at the shareholders? meeting and exercise their rights to protect
with conflicts of interest. In this regard, relevant information must be disclosed to REIT unitholders and must not be opposed by the said unitholders according to the specified criteria.REIT trustees
affirmed that he had learned of {A}'s trading on his behalf. In this case, {A} has paid compensation to the client already.Making securities trading decisions on behalf of client is in violation of Clause 20
Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. In this case, the SEC revoked {A
of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. In this case, the SEC disclosed inappropriate behavior from May 7, 2014 and suspended {A
Q2/2011. The loss was resulted from an extraordinary item on allowance for impairment work in construction of Portalnet Co., Ltd., its subsidiary. {A} learnt of this information while she was {X1
obtaining bounty and gratuity, for instance. In this regard, Commissioners, Board members, top management and staffs of the SEC, the Stock Exchange of Thailand and over-the-counter center are not entitled to
based on the same period of time and extend IPO subscription period at least for two business days. This is to allow investors more time to digest the information for their decision making. Vorapol