’ assets on a monthly basis and file it with the SEC Office within the seventh day of the following month. In this regard, business operators which have the duty to prepare and file the reports in Paragraph

seeking unfair benefits from investor by taking advantage of her duty performance.  In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the

. 5. In particular the disclosures should, with respect to conflicts of interest, address the priority given to client interests in decision-making; with respect to collective engagement, describe the

the Securities and Exchange Commission personal data any information that can be used to identify a natural person, both directly or indirectly, but shall not include, in particular, any information

Bangkok, September 11, 2014 ?The SEC is seeking public comment on draft regulations on termination of listed company?s duty to disclose information under  Section 56 and duty of directors and

authorities. In particular, new emphasis is placed on the quality of supervision and enforcement. The chapter also includes a new principle on the role of stock markets in supporting good corporate governance

specified period, and the following information is required: Application for the offer for sale of shares (form 69-1) Prospectus After offering to sell shares, the company has duty to disclose information in

upon publication in the Government Gazette. Chapter 1 Supervision of Trust for Transactions in Capital Market __________________ SECTION 8 The SEC shall have the power and duty to formulate policies to

The SEC shall have the power and duty to formulate policies to promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of rules

SECTION 8 The SEC shall have the power and duty to formulate policies to promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of