civil sanctions on Surin. However, he did not agree to comply with civil sanctions determined by the Civil Sanction Committee. SEC, therefore, requests the public prosecutor in writing to file a
Information Disclosure (ELCID) via SET within three business days. In case of PE Trusts, a trustee must notify trust certificate holders in writing of their resignation no less than 30 days in advance.(2
that the companies inform SEC in writing of the intention to postpone the submission within 150 days as of the end of the financial year, while disclosure to PVD members is due within such period of
forms and depositor signatures of her clients. Nuchanart later confessed to TMB in writing that she had committed frauds against her clients’ assets and had sought undue benefits for herself at an
place of trading. In addition, the regulation writing method has been simplified through the use of diagrams and tables to facilitate asset management companies’ better understanding and proper
......................................................................................................................... 9 A Spectrum of Engagement Intensity ................................................................................................................11 Effective Letter-Writing
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
, the securities company shall notify the SEC Office in writing of such change of position or power of management of the said person in accordance with the form and procedure provided on the website of