of PVD factsheet and pooled fund data report. The SEC conducted a public hearing to seek stakeholders’ comments and suggestions on this matter during the months of October and November last year
this case, the SEC?s probe found that Yongyuth and Vorapin had sold TUCC shares in such a way that taking advantage of others by using non-public information material to TUCC share price. They learnt of
required to disclose information of the fund with material information equivalent to that disclosed by Thai funds to their unitholders. Also, the Hong Kong fund must prepare the factsheet in the format
Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets
supervisor. Clause 3 The commitment shall contain at least a particular describing the material information as follows: (1) name of the mutual fund scheme; (2) details of the mutual fund scheme containing the
transaction or material undertaking; (d) having withdrawn an application for approval of an offer for sale of newly issued securities without giving any clarification to the SEC Office regarding any matter
as those of the auditors. Being well aware of this fact, the SEC has regularly communicated and emphasized this matter to the stakeholders through various kinds of activities. For example, the SEC
documents under Paragraph 1 are translated from a foreign language, the foreign entity shall also proceed as follows: (1) certify that the substance of the translated information or documents has truly
company's shares, had prepared and submitted incomplete and inaccurate information. The said information was material for identifying the persons who had taken benefits from having access to or learning of