Section 244 and Section 243(2) of the SEA and Section 86 of the Penal Code. After filing the complaint, however, the SEC was informed by the DSI that Adirek agreed to enter the settlement process under the
misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed
manner to allow members and involved persons to be well informed of possible effects and risks from the operation of the business; Part 3 Subject Matters of this Notification Clause 4 This Notification
Printable Format - Laws and Regulations Securities Borrowing and Lending |- Fees (section 14 and 19) |- Major Shareholders |- Branch Office |- Net Liquid Capital (section 97) |- Capital Reduction
) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the test, reviewing
businesses and educate investors so that they become knowledgeable and capable of managing their own risks,” added the Finance Minister.Mr. Pichit Akrathit, Chairman of the SEC Board, said: “Capital market
materiality. TRIS informed RML that TRIS downgraded the RML credit rating to "BB+" (Double B Plus) from "BBB-" (Triple B Minus) and the rating outlook is revised to "Negative" from
Printable Format - Laws and Regulations Securities Underwriter Business |- Licensing / Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating
nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of