papers for shares issued by small and medium sized companies.?The SEC realizes underwriter?s important roles in relation to investors? investment decision making and credibility of Thai capital market. As
statement / annual report (Form 56-1 One Report). This is to ensure that investors can access material information that is accurate and sufficient for investment decision making. In any case, the SEC
analysis on current conditions of assets. Accordingly, the SEC required GOLD and UV clarify the reasonableness of the assets valuation report used in making a decision to propose the asset disposition and
protection with accurate and sufficient information for investment decision and build confidence in quality of financial reports of businesses in capital market. The inspection results indicated that most
sufficient information disclosure for shareholders? decision-making. Under the proposal, an application for offshore convertible debenture offerings must be jointly prepared by SEC-approved financial advisor
time with high trading volumes. {A} admitted that the client allowed her to make trading decision under the pre-determined value. After trading, she notified her client via recording telephone.The client
out derivatives positions before reaching expiry dates and open new positions of next trading series. The client also allowed her to make trading decision; however, did not clearly specify details of
decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept
comparison indicating maximum, minimum and average returns among mutual funds in the same category and will thus serve as useful information for making investment decision. The proposed rules classify mutual
their rights to protect their own interests. They should also make necessary inquiries to the bondholder representative to obtain complete information before making an informed decision at the