activities therewith may not be protected by the laws enforced by the SEC. In the case of the Facebook accounts, the SEC has instructed the accounts to end the solicitation on the social media platform. On a
31 March of each year may be used instead. This is to ensure that the fee calcualtion is based on more updated information. In any case, the fee rates remain the same without any revision. The
Pursuant to the existing regulations that have been effective since 2004, listed companies are required to pay an annual fee for submission of the annual registration statement to the SEC. In this
of research analysis by non-licensed business operators may be regarded as carrying out the investment advisory service business because such promulgation must only be made by a licensed business
resolutions should not be reserved for escalation There are other escalation strategies available to investors. 18 These strategy may include: ▪ Filing shareholder resolutions; ▪ Voting against the (re
client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
Listed companies may postpone the AGM holding based on their discretion; however, a written clarification of the reason for the postponement must be submitted to the registrar on a case-by-case
Complex Type 2 Investment Consultant
MDT05_22 May 18 เลขที 15/2561 วนัที 22 พฤษภาคม 2561 เรียน กรรมการและผู้จดัการ ตลาดหลกัทรัพย์แหง่ประเทศไทย เรือง แจ้งมตคิณะกรรมการบริษัท ครั .งที 5/2561 บริษัท อิออน ธนสนิทรัพย์ (ไทยแลนด์) จํากดั