suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc. and also revealing {C}'s inappropriate behavior. The SEC found from its routine inspection that {A
, the first and third quarters of 2013, and the year 2013 in order to avoid revealing the details of his related persons who entered into share trading transactions with RAM during 2012-2013. The public
restructuring exercise, Indorama Ventures Mexico Assets, S. de R.L. de C.V. (“IVMA”) has merged into Indorama Ventures Polymers Mexico, S. de R.L. de C.V. (“IVPM”). Post-merger, IVPM shall be the surviving entity
employee of Ausiris Futures Co., Ltd. {A} and four employees of KGI Securities (Thailand) PLC {B}, {C}, {D}, and {E}, effectively from August 17, 2012, as well as revealing inappropriate actions of {F} and
Department and the Corporate Monitoring Department have been merged to be in charge of fully-fledged supervision of listed companies, while the Fin Tech Department is the center of digital asset-related
of Audit Research Project, revealing the main reason why stakeholders or related parties have failed to see the value of audit is because they do not fully understand the roles and responsibilities of
avoid revealing the details of his related persons who entered into share trading transactions with RAM during 2012-2013. The said misconduct was in violation of Section 312 of the SEA. The SEC therefore
revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
Transaction, Kinpo and the Company agreed on the following condition precedent for the merged CCPH; a) Chairman or chairperson nominated by Kinpo Group shall have agreed that in case of tied votes in any agenda
are merged together; (8) “mutual fund amalgamation” means amalgamation of two mutual funds or more into one mutual fund in which the mutual fund which accepts the transfer of assets purchases or accepts