Bangkok, June 13, 2014 ? The SEC is seeking public comment on rule revisions on subscription, underwriting, and allotment of newly issued securities and securities underwriting. The revisions aim at eliminating obstacles for issuing companies while maintaining proper protection and fairness in allotment of securities for investors. Also, rules on prevention of conflict of interest arising from securities underwriting will also be revised in responsive to current circumstances. The consultation...
Mr. Thawatchai Pittayasophon, SEC Deputy Secretary-General, Acting Secretary-General, clarified: “The SEC, to the best effort, has taken actions under the authority in this case, e.g., instructing the company to disclose information, extend the scope of special audit, and notify investors; and cooperating with relevant law enforcement agencies. We have, so far, made substantial progress in the investigations into the case. With regard to investor rights protection, the SEC has rendered ful...
________________________หมายเหตุ:ตามลิงก์ https://zipmex.com/th/en/announcements/update-on-moratorium-proceedings-29072022-3/
their right within deadline. ________________________Remark: Link to Zipmex Group’s announcement: https://zipmex.com/th/en/announcements/update-on-moratorium-proceedings-29072022-3/
the duty of investment consultants to record them along with conversations at all times for evidence. The SEC places high importance in this matter because it will be beneficial to both investment
trading decisions for the client. From examination of communications records, there was no sources of the orders; just transaction confirmations made by such investment consultant and the conversations
that he notified his clients of trading orders at night and failed to keep records of all clients' trading orders. Conversations between {A} and the clients found on the records also indicated the
moderator. The topics of the conversation were: (1) Possible approaches for promoting conversations and discussions among investors, developers, business operators and the public sector; (2) Potential risks
year?s discussions focused on two key areas. First, the use of Audit Quality Indicators (AQIs) to spur deeper conversations on audit quality matters between audit firms and stakeholders such as audit
. In this regard, the fact found from their conversations recorded was corresponding to his admission. It was also found that the client acknowledged the transactions via SMS all along and consistently