sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with
sufficient information by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC
Bangkok, January 24, 2014 - The SEC imposed a one-month suspension on {A}, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform sufficient information
SEC is rather to ensure fair treatment and that investors have sufficient tools to protect their own rights. The SEC has used important measures in building confidence of investors as shareholders or
the information honestly believed to be sufficient, will the adviser be responsible to shareholders? A: Directors' decision based on the information received from an external adviser may constitute
market. As such, it is our strategy to expedite to increase auditors in the capital market; so that number of auditors in the capital market are sufficient for the ever-increasing listed companies – a
, claiming returns from cryptocurrencies, digital tokens or package investment plans in the form of Ponzi scheme. Solicitors may also promise or guarantee attractive returns, luring investors into quick
certificates will be limited to institutional investors or high net worth investors only; therefore, is exempted from the SEC?s approval.? ?To make investment in PE trust more attractive, the SEC will further
to the resolution of the shareholders? meeting (whitewash) to be in line with the principles of other related regulations as well as to solve practical issues and provide sufficient information for
items for annual general meetings and extraordinary general meetings, to require the persons proposing the agenda item to possess sufficient information and supporting documents, to specify details in