(Internal) 4 I. INTRODUCTION (CONT.) Real economy: • Market failure: • E.g. financial constraints, uncertainty, dynamic externality. • Then, in capital investment (CAPEX), e.g. R&D expenditures (Choi & Lee
”), whose works were found deficient by internal reviewers or the SEC, and they would additionally be required to submit written explanations, describing causes of their deficiencies and future corrective
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
Experience1 List of Required Examinations2 Investment Analysis on Securities3 and Derivatives Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst
disclose relevant information and have to keep them updated in all cases. This was a departure from the previous regulations which required such disclosure only when the offering was made to the public
of the transaction sizes of such transactions, the Entire Business Transfer Transaction and the allocation of the U-W3 Warrants to UE, results in the Company being required to disclose information to
....................................................................................................................... 31 THAILAND CORPORATE ESG DISCLOSURE Foreword from World Bank Thailand is facing challenges of our times from rapidly changing situations and uncertainty caused by external factors, particularly the
proposed regulations can be summarized as follows: 1. Disclosure and submission of PVD Factsheet 1.1 In case of adding a new investment policy to the existing PVD, the AMC would be required to disclose
and Submission of PVD Factsheet, divided into two cases, i.e.: In case of adding a new investment policy to the existing PVD, the asset management company (AMC) is required to disclose the PVD