technological change. SEC then proposes to amend processes related to the takeover regulations such as canceling hardcopy document submission, according to this consultation paper. The relevant reports can be
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
income from business operation due to the high interest rate of 14-15 percent per year according to the loan contract. Such facts caused the GL financial statements to be in contravention of Section 56 of
SEC is holding a public hearing on the proposed amendments to the regulations governing REIT indirect investment. According to the current regulations relating to issuance and offer for sale
and disclosure of the rectification of internal control system according to the auditor and internal auditor?s comments and recommendations. He also failed to review and understand the company?s
December last year. The SEC therefore instructed the offerors and their financial advisor Finnex Advisory Co., Ltd. to revise the tender offer documents by adjusting the offer price according to the said
Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction
characteristics of personnel in the capital market according to Clause 6(1) of the of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Personnel
to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012; classified as prohibited characteristics of personnel in the capital market according to Clause 6(1) of
have the right according to criminal justice process to clarify and present information and evidence to the respective authorities. In any case, the filing of a criminal complaint commences the criminal