houses or central securities depositories from unlawfully seeking benefits by using the information obtained during the performance of their duties, as well as adequate measures to keep information of
financial products, either domestic or foreign issues will be drafted, rather than a rule-based one. Also, consideration on suitability of target investors will be addressed. The proposed rules govern
the latest audited financial statement ended at June 30, 2019. However, having considered the size of this transaction as well as no acquired transaction in the past 6 months, this transaction is not
financial statements for Q1/2016, Q2/2016, and Q3/2016, which have been rectified and audited by the auditor, as well as the annual financial statements for the year 2016 and for the first three quarters of
qualified opinion on the consolidated financial statements for the year 2015 as well with regard to the same issues. The SEC therefore instructed AIE and AI to cooperate with their auditors by providing
Content Management of Mutual Fund 24. Additional rules for country funds Following provisions shall not apply to country funds: (1) Calculation and announcement of the NAV, investment unit values, as well
Content Management of Mutual Fund 24. Additional rules for country funds Following provisions shall not apply to country funds: (1) Calculation and announcement of the NAV, investment unit values, as well
within 7 days after advices have been given to Thai investors; enhancing the requirements on the qualifications of personnel of foreign business operators who provide advices to Thai investors as well as
required in case of offering long-term debentures to high net worth investors. The issuer's ability to comply with the repayment terms must be disclosed more clearly as well. ?We conducted a public
? intention and brought about disputes between the clients and the investment consultants as well as the securities firms. Therefore, the SEC urges collaboration among investors not to make such authorization