Section 300 in conjunction with Section 278 of the Securities and Exchange Act B.E. 2535 (the “Securities and Exchange Act”), in the case where ETL concealed material facts regarding the interim dividend
conjunction with Section 278 of the Securities and Exchange Act B.E. 2535 (the “Securities and Exchange Act”), in the case where ETL concealed material facts regarding the interim dividend payment in September
event of default under the Terms and Conditions in cases where the bond issuer engages in debt restructuring negotiations with financial institutions, proposes amendments to the debt repayment schedule at
reduction, with the key points as follows: (1) in cases where a capital reduction occurs while a business operator is subject to temporary suspension for all types of licenses for at least one year, or during
. Auditing performance by YNP?s auditor -Somchai Kurijitkosol of SK Accountant Services Co., Ltd., was then brought under the SEC?s investigation where Somchai?s serious audit mistake and non-compliance with
Bangkok, February 9, 2012 - The SEC has closely monitored the incident on December 30, 2011 where net asset value ("NAV") of domestic mutual funds investing in offshore ETF was irregularly high. The
4. A notifications of allegation, appointment, imposition of administrative sanction, consideration on appeal or any other matters shall be made in writing. Clause 5. In cases of urgency or where a
from the date on which the claimant knows or should have known of the cause of such dispute and not more than one year from the date on which the dispute occurred except where the Office deems it
where the Office deems it necessary and appropriate; (b) the dispute between a natural person who agrees, receives or uses services, or enters into a contract with the respondent relating to securities or