to collect, use or disclose personal information on the legal basis of public interest in accordance with Section 24(4), Paragraph 1(2) of Section 25, and Section 27 of the Personal Data Protection Act
securities. D. Representative of Debt Securities Holders 1. Disclose the party that is acting as the debt securities holders’ official representative who acts in a fiduciary capacity for the debt securities
arrangement for transfer and any transfer restriction of the debt securities. 6. Disclose the currency the debt securities are denominated as well as the currency in which any amount payable on the debt
, details and evidence, SEC Complaint Center may ask the complainant to submit additional information. In some cases, the SEC may disclose relevant information (if necessary) to the persons involved and for
/ regulatory action 5. Advertising, raising customer awareness • One state regulator describes their role as making advisors reveal their “verification of misconduct” (costly verification) • Conditional on a
INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2020 SECURITIES AND EXCHANGE COMMISSION, THAILAND Contents Executive Summary 01 04 08 15 28 58 62 70 47 Quality Assurance Review Panel Activities for Enhancing Financial Reporting Quality Summary of Audit Inspection Results A. Firm-Level B. Engagement-Level Root Cause Analysis Framework and Focuses in 2021 Essential Statistics Auditing Landscape in Thailand Executive Summary Over the past year, the Thai capital market experienced tremendous volatili...
false statement/ Dissenimation of false or misleading information 1 5 5,000,000.00 - 153,310.00 - - Market manipulation 3 6 83,000,000.00 131,227.00 48,638.00 2 15 Insider trading / Disclose inside
listed company must disclose information about the newly issued shares to PP before the offer to sell, with the details of at least the offering price and the method of calculating the offering price via
capabilities fully and cautiously with sufficient information and referable evidence; (c) members shall disclose to clients any case where the members have an interest, whether directly or indirectly, in any