Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . Division 3 Substance of provisions _____________________________ Clause 4 The requirements
total sold units, but asset management companies are still required to disclose information regarding unitholding over the one-third rule to investors and such unitholders are not allowed to exercise
, particularly during the current escalating trading of securities with a high P/E ratio and under cash balance rule. SEC Secretary-General Vorapol Socatiyanurak said: ?The SEC has urged securities companies to
. TorJor. 20/2551 Re: Rule on Entering into Material Transactions Deemed as Acquisition or Disposal of Asset dated 31 August 2008 (as amended) , and the Notification of the Board of Governors of the Stock
practices. The IOD has noted that Thai listed companies are starting to emphasize more on substance rather than just form, especially in the areas of Role of Stakeholders and Board Responsibilities. However
: การพิจารณาตราสารดังกล่าว ควรพิจารณาที่ Substance ของตราสารเป็นสำคัญ ดังนั้น แม้ว่าตราสารจะใช้ชื่อว่า Structured Notes แต่เมื่อมี
. SEC has therefore drafted the rules and regulations on the matters including the rule on collection of copying charges. Proposed draft provisions include:(1) Notification of trustee’s resignation: In
compliance; (2) Revoking notifications that are no longer necessary or become overlapping, for example, repealing the rule requiring asset management companies to notify the fund’s annual report