the digital asset exchange by non-compliance with the Listing Rule approved by the SEC and disregard for the conflict of interest prevention measure. DAB Act S.94 Settlement Committee Meeting No. 5
addition, there is no reasonable ground to believe that the applicant has any deficiency or is not appropriate regarding control and sound business conduct; (3) being able to maintain capital funds and set
’ understanding that there is a preventive measure against using inside information. 9.5 Investment consideration and REIT management: (1) specify procedure and factor for investment consideration; (2) for
into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted
SEC Secretary-General Ruenvadee Suwanmongkol said: “Due to the current situation of the COVID-19 outbreak, SEC has issued this support measure to help personnel in the capital market business to
SEC Secretary-General Ruenvadee Suwanmongkol said that the relief measure for issuers of all types of securities applies to the annual registration statement fee (annual fee) that is due in 2020
Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
or any other circumstances indicating the applicant’s financial hardship, including not having any reasonable ground to believe that the applicant has any deficiency or inappropriateness regarding the
to cause damage or any other circumstances indicating the applicant’s financial hardship, including not having any reasonable ground to believe that the applicant has any deficiency or