draft prospectus for initial public offering of shares. The SEC's probe found that {X1} Company and {A} did not exercise due care in verifying relationships between the applicant and a company in the case
Fund 75/25 (BLTF75/25) after only verifying the client?s name and the number of units to be redeemed without reviewing the client?s account statement nor calling for the client?s close attention to the
expedited the process of verifying suspicious scam reports and promptly notify relevant authorities to shut down fraudulent contents or channels used for investment scams. Under this initiative, the SEC has
statement to the SEC Office; and (2) the company submits a letter of certification to the SEC Office confirming that the company’s information does not change materially from the latest annual updated
the industry. Please refer to the SEC’s website. 39. Applicants shall request the SFC to provide directly to the SEC a certificate confirming that the Eligibility Requirements listed in Annex B to this
directly to the SFC a certificate confirming that the Eligibility Requirements listed in Annex B to this circular are met. The SFC will not be able to take up an application if no such certificate is
participation in the campaign, featuring three tech-based and target-driven initiatives, i.e., (1) SEC Check First, an application for verifying the status of service providers and capital market products
results for the entropy-balanced sample are shown in Table 4. The coefficients of board gender diversity remain positive and significant, confirming once more the notion that board gender diversity induces
E_1 Legal_FA_2015_12_29-c A WWCCoorrppLL44..11hhiigg A Executive Summary 1 Management Discussion and Analysis For the Year Ended December 31, 2017 In 2017, Thai economic growth gained traction, buoyed by strong recoveries in tourism and exports. This growth momentum is expected to carry on into 2018, especially amid a brighter outlook in public and private investment. Nonetheless, the business sector remained challenged by new modes of competition in a broader marketplace amid the advancing digi...
facilitate the following matters in Thailand: 5 (a) proceeding the same action as prescribed in Clause 5(4); (b) verifying the details of constitutive document [for ensuring that the scheme has been conformed