Rehabilitation Listed Company, required to offer and sell newly issued securities by the Rehabilitation Plan, an exemption from submitting an application for approval to the SEC on the condition that the Company
corporate bonds or to fund business operation on the condition that the earlier corporate bonds must be repaid first, and a mechanism for management and monitoring of money spending according to the set
information set to the new service provider through an interconnected system on the condition that investors personally check whether or not the received information is accurate and up-to-date. In such case
result, the price and trading volume of PICO’s shares were not in a normal market condition, and investors in general were misled to understand that a large number of investors were interested in buying
the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
Provincial Electricity Authority; and (2) The payment condition is inappropriate because SUPER has paid a lump sum advanced payment for the share purchase even before the shareholders pass a resolution either
varieties of assets according to suitable risk profile. For example, funds offered to retail investors are now allowed, on the condition that pre-specified ratios apply, to invest in non-listed infrastructure
statements for the year 2002 and for the 1st and 2nd quarters of 2003 and thus misled shareholders and investors about DAIDO?s true financial condition. The said actions were in contravention of Section 312 of
with U Best and Media Agency on the condition that the collateral will be returned to AJP if shareholders rejected the proposed transactions. The SEC thus advised AJP shareholders to study the
purchase or sell MILL shares, which led to a trading condition of MILL shares was not consistent with the normal market conditions. In addition, there were other 5 individuals, namely: Miss Pornwadee