SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
Bangkok, November 5, 2008 ? The SEC instructed Natural Park Public Company Limited (N-Park) to adjust its Q2/2008 financial statements regarding the issue of the lawsuit filed against the company by
all stakeholders and TSFC is required to submit monthly progress report to the SEC.?
necessary information required for the production competent and the employee training program. Contract Period 1 Year (January 1st, 2019 – December 31st, 2019) Other conditions shall be in accordance with the
Administration (CFDA) at the beginning of 2 0 1 8 as the Company had to redesign its packaging to comply with the requirements of the license. Furthermore, the Company also found it necessary to adjust its sales
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
fund committees; 1.2 In case of establishing a new PVD, the AMC would be required to disclose the necessary information on the investment policy to the clients before offering the new investment policy
disclose such information in a video format to better respond to investors? changing behaviors and to ensure that investors would have necessary information for making investment decisions.According to the
review and rectify its financial statements for the second and third quarters of 2012. TUCC is required to submit to the SEC and to publicly disclose the rectified financial statements that are reviewed by