determine a violation and take an action on any individual or firm, the SEC would investigate and gather information, facts and evidence concerning the violation. Generally, an alleged offender may clarify or
Individual Clients (SEC Circular SEC. Thor. 1/2547) To be filed within seven days of the following week. Monthly Reports Unaudited Monthly Financial Statement (Form Bor.Lor. 2 & Bor.Lor. 2/1
+OR+%22electronic+property%2... ICGN%20Institutional%20Investor%20Responsibilities_2013.pdf horizons for individual staff members advance alignment with the interests of beneficiaries and clients. Asset
the equity crowdfunding scheme and would confine individual exposure to ICOs, there are counter-arguments that this would overly restrict retail investors’ freedom to invest and the same could be said
obtain ACMF Pass and carry out investment advice which are permitted activities under the MOU in Host Jurisdiction. This handbook set out the guidance on ACMF Pass by: 1.2.1 Explaining the scope of
arising, whether directly or indirectly, whether in contract, tort or otherwise from any action or decision taken (or not taken) as a result of any person relying on or otherwise using this document or
share- holders (through what is known as 'tunnelling' 3 ), or misrepresenting an individual company's financial statements (of particular concern where the company is under pressure to meet expectations
and the persons whom IFEC identified as director via the Stock Exchange of Thailand (SET) to solve the company's problems urgently and to disclose their individual clarifications to the public within
contributors and the editor of this publication accept no responsibility for loss occasioned by any person acting or refraining from action as a result of any views expressed in these pages. No one should act
made at more than 80% of the project. 3. Investment must not be in small units such as individual houses or condominium units. 4. Asset appraisal must be made by an asset appraiser determined by SEC. In