financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
incorporate the aforesaid amendment. The consultation paper is available at https://www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments and recommendations via the
of conduct, CRAs should keep in mind that the laws and regulations of the jurisdictions in which they operate vary and take precedence over the IOSCO CRA Code. These laws and regulations may include
, according to the Sustainable Investments Institute. And that number does not include the countless letters, meetings, conference calls and other types of engagement that shareholders had with listed companies
management company in case of redemption payment process when the insured has died by redeem investment units exceed than the time period specified in the scheme. The amount of fines does not include daily
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
required parent company to be responsible for bribery act of its overseas subsidiaries. Such responsibilities shall include the establishment of policy, practices and investigation and ensure that its
Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 . The amount of fines does not include daily fines starting from the day following the settlement date to the day the
order was issued after the company?s auditor reported that the said consolidated financial statements did not include the interim financial statements of subsidiary Technor Co., Ltd., which was a case of