, it is considered under the rule and procedure concerning the acquisition of assets of listed companies. Since the highest transaction size in this case is equal to 0.94 percent, which is determined by
Help Center Complaints/Whistleblowers Matters under the SEC Responsibility Complaint Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws
SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
or falsifying documents. SEC has therefore issued regulations specifying suspicious circumstances and the procedure for obtaining facts relating to such circumstances to be in accordance with the
of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment
scheme, {F} and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading accounts.Their actions were in
the registrar. The profit for the period therefore decreased as mentioned before. The Company has set procedure to solve the mentioned problem and believes that the ratio of net claim expenses over
, engagements review program and the scope of the review. A8 Does the firm perform pre-issuance review (hot review) of selected engagements as part of its monitoring procedures? Please describe the procedure for
same Act. As Paiboon agreed to enter the settlement procedure, the Settlement Committee therefore imposed a 6,028,563.75 baht fine on him.Vasant Thienhom, Deputy Secretary-General said, ?In cases where a
296 of the same Act. As Pantipa agreed to enter the settlement procedure, the Settlement Committee therefore imposed a fine on her in the amount of 500,000 baht.