Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
. Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g., in-house, outsource, network firm? 2) How often the firm performs monitoring function? A2 Does
operator. Noted: Filing a criminal complaint is the commencement of the criminal process. Under the Criminal Procedure Code, after receiving the complaint, the inquiry officer will investigate the case
by CFC process? Does the alleged consent to extinguished the case by CFC process The SEC Office presents the case to CFC for consideration. CFC considers and imposes a fine. Does the offender pay the
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
Picnic Corporation Public Company Limited Picnic Corporation Public Company Limited (PICNI), a securities issuer which is proceeding the rehabilitation procedure under the Bankruptcy Law and is