with fair treatment and transparency, and increase flexibility for management of member contribution. Most respondents agreed with the proposed amendments and suggested further details for the

According to the SEC’s public hearing in the fourth quarter of 2022, the majority of respondents expressed support for the proposed principles and draft regulations, and some also suggested that the

proceeds was not in accordance with the objective of the capital increase of the IPO; and the transaction was not in compliance with the liquidity management policy. If the meeting resolves to not confirm

} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was

to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be

office to confirm the share transfer with a person who was believed not to be the true owner of the trading account, and adding a new contact phone number to the client?s personal profile even though there

capital market auditors. Most respondents agreed with the proposal, viewing that a minimum of four auditors was appropriate. Additionally, they suggested that the SEC give audit firms a suitable timeframe

of rules monitoring listed companies.  Meanwhile, investors are suggested to consider several factors in making investment decision in listed companies. The third study on purchase of shares by persons

redeemed the investment units of Bualuang Long-Term Equity Fund (B-LTF) as suggested by the bank's officers The redemption was in breach of a condition on investment unit holding period of at least 5

registration statement neither represents that the Securities and Exchange Commission, the Capital Market Supervisory Board or the Office of Securities and Exchange Commission have suggested investment in the