strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume
financial statements by March 8, 2013. This was because the SEC found that the company?s management prevented the auditor from obtaining sufficient information and audit evidence necessary for reviewing the
has been founded at the beginning of the most recent accounting period and the latest quarter financial statement, providing further that such financial statements must conform to the accounting
has been founded at the beginning of the most recent accounting period and the latest quarterly financial statement, providing further that such financial statements must conform to the accounting
shares in the SET50 Index to those in the SET 100 Index, providing that quarterly average market capitalization value of the 51th-100th shares in the SET 100 index must be no less than 10,000 million baht
, 2014 as a representative of the IOSCO Asia-Pacific Regional Committee. SEC Secretary-General Vorapol Socatiyanurak said that this is a great chance for the SEC to contribute more to the work of the
funding portal operation and suitability test in order to mitigate fraud risks and ensure that investors will be informed of risks associated with investment in SMEs, in particular startups, and liquidity
. The REIT supervision would be relatively similar to that of listed companies. For instance, an acquisition or disposition of key assets and related-person transactions must be approved by the trustee