and Form 69-1. The revised forms take into account compliance with the new Corporate Governance Code (CG Code), which was jointly introduced by the SEC and relevant capital market organizations earlier
operations as well as its monitoring and reporting processes, all of which by taking into account potential business impacts on the economy, the society and the environment.By implementing the CG Code, the
prospectus to be clear and concise by taking into account recommendations from industry.The proposed revisions aim to (1) simplify format for information disclosure, (2) facilitate minor amendments to be more
. Before such information became public, Sinsathien had purchased PRO shares through the trading account of Sompis during January 11-31, 2007. His action was deemed using inside information to gain unfair
the issuer to support sufficient distribution to retail investors.The proposed amendments have taken into account stakeholders? opinions received from the hearing on the guiding principles conducted in
Advice dated January 18, 2012. The SEC therefore suspended {A} for one-month from her duty as an approved capital market investment consultant. Taking into account that {A} had already been suspended by
Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} for one month from her duty as an approved capital market investment consultant. Taking into account that {A} had
suspended {A} for one-month from his duty as an approved capital market investment consultant. Taking into account that {A} had already been suspended by his employer for fifteen days, the suspension imposed
Capital Nomura Securities PLC., a number of securities trading orders from an account of {A}'s client had no supporting evidence for a period of time. {A} admitted to Capital Nomura Securities PLC., that he
revisions, the business operators will be required to have in place a sound internal control system, by taking into account the utmost interest of customers, for preventing the use of inside information and