Bangkok June 20, 2011 - The SEC prohibits {A} and {B}, former investor contacts from serving as personnel in the capital market from June 18, 2011 onwards, for their failure to comply with standards
information, fund performance comparison in the same categories, and convenient access to services through innovative technological channels are additional criteria to comply." Currently, many types of mutual
within ASEAN capital markets. Issuers offering equity and plain debt securities in multiple jurisdictions within ASEAN will only need to comply with one single set of disclosure standards for prospectuses
foreign bank in order to comply with accounting principle. The SEC, therefore, has directed THL to rectify financial statements and submitted and publicly disclose the rectified statements reviewed or
against potential losses due to fraud. Note: * Failure to comply with Clause 23 (1), subject to the prohibited characteristics of the personnel in the capital market business under Clause 31
; (4) Approving an exemption from an event of default under the terms and conditions for the company’s inability to comply with the financial covenant requiring the maintenance of the interest-bearing
event of any violation or failure to comply with the rules**, it shall be deemed that ACC has not been approved to offer newly issued shares through PP within the meaning of the Notification. In such
website. Note:* This constitutes a failure to comply with Clause 23(1), which constitutes a prohibited characteristic of personnel in the capital market business under Clause 31(1) of the Notification of
executive for a period of 22 months. The civil sanctions prescribed by the CSC will take effect once the offender signs a letter of consent agreeing to comply with the sanctions. If the offender refuses to
and Period of Approval ______________________ Clause 101 Any person to be approved as auditor in the capital market shall comply with the following rules: (1) being a certified public accountant whose