business operations and mitigate undesirable impacts especially the operational risks. The proposed revisions include rectification of non-compliance with capital requirement and imposition of operational
determine the currency conversion, as well as the basis for that determination. 7. Where not all of the debt securities being offered are guaranteed, provide a statement for a non-guaranteed portion. B
may restrict the import or export of capital, or affect the issuer’s ability to make payment to non-resident holders, they shall be disclosed in the registration statement. D. Statement by Experts If
** Notification of the Securities and Exchange Commission No. Kor Mor. 8/2567 Re: Waiver of Operational Fees for Licensed Securities Brokers Providing Conversion Service of Non-Voting Depository Receipts to
Bangkok, April 4, 2012 ? The SEC is seeking public comment on draft regulation governing unrated bonds and high yield bond mutual funds offered to non-retail investors. The revision aims to
principle that the asset classes eligible for the repurchase (repo) and reverse repurchase (reverse repo) agreements between the securities companies and non-institutional investors be extended to include
Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board recently resolved to approve additional type of mutual fund selling agents which must: (1) be state enterprise which is non
percent of its shares in the manner that taking an advantage over other investors due to the use of negative non-public information material to {X1} share price. The said information was about {X1}'s Q1
securities trading account of another person for her own or others? benefits in such a way that taking advantage of others. The selling was made by using material non-public information concerning a 129.83
determination. 7. Where not all of the debt securities being offered are guaranteed, provide a statement for a non-guaranteed portion. B. Covenants Relating to the Issuance of the Debt Securities 1 “senior