inappropriate acts have been committed and consequently subject to correction measures such as SEC order of financial statements rectification, and SEC warning for the shareholders to exercise voting rights. The
ของ early warning ใหสะทอนคาความผันผวนของเงนิ กองทุนที่ตองดํารง และนยิามของหนี้สินพเิศษที่ไมตองนาํมารวมในการคํานวณเงินกองทุนสภาพคลอง สุทธิ ดังนั้น เพื่อใหบริษัทหลักทรัพยและตัวแทนซื้อขายสัญญาฯ
duties and responsibilities to the Board of Director on the following matters: - Review the financial reports (quarterly financial report and annual audited financial report) to oversee that the reports
investors.The persons performing the duty must monitor and oversee undertakings that may cause a conflict of interests to the unitholders, including undertakings that may be characterized as unfairness to the
in the business rehabilitation process under the Bankruptcy Act of 1940. There are measures in place to oversee the asset management for normal business operations under the Central Bankruptcy Court
shall not be more than twenty-five present of the size of the applicant; (4) there shall be an oversight mechanism that enables the applicant to oversee the management and account for the operation of the
any country or any sector. For example, a higher-than-80-percent concentration in any sector would represent high risk. In addition, a risk warning statement would have to be printed on the cover of
prospectus; - continuing disclosure of the implied volatility in comparison to the historical volatility on the website of the DW issuer; - disclosure of a warning statement regarding the gearing ratio, a
suggestions gathered from the previous hearing on the principles of the said rules conducted in January. Essentially, the draft rules emphasize the improvement of information disclosure and clearer warning of
) Prohibiting offering of all types of securities in accordance with the Securities and Exchange Act of 1992 in the case where the Stock Exchange of Thailand (SET) publishes a warning sign on any listed company