SEC Search Search From : Home > Search > Search Results search: Public Information System Investor Alert ( 367 ) SEC_News ( 348 ) Enforcement ( 97 ) List of Approved persons / Licensees ( 40 ) Public

bond market, the SEC Board has approved the amendments on the debt issuance rule as follows: 1. Debt issuers are allowed to shelf-file all types of debt securities in addition to short-term ones

approved list) and (b) the book value of such assets. The compensation will be paid to those PA shareholders based on the number of shares held by him/her within 30 days after N-PARK receives a transfer of

Regulations The SEC Board has approved the amendments to the regulations governing securities borrowing and lending (SBL) and short selling to facilitate such business transactions which can be used as risk

Collective Investment Schemes (CIS) Framework. The Framework enables fund managers operating in one jurisdiction to offer funds constituted and approved in that jurisdiction to retail investors in the other

Thailand (SET), the Federation of Thai Industries, Thai Chamber of Commerce, Investment Banking Club and participating approved auditors. The Projects I and II joined by 219 companies from 39 provinces have

. If these two persons were the approved investor contacts, the SEC would have revoked such approval status. {A} and {B}, however, did not renew their approved status as investor contacts; accordingly

executives;2. Administrative sanctions: Somchai?s non-compliance with the auditing standards was a serious audit mistake, causing him to be disqualified from the status of an approved auditor for issuing

repeating the same mistakes, and concurrently obtained many of his client authorizations to make decision on behalf of them. The SEC therefore suspended him from duty as an approved securities market

draft prospectus with the SEC, and such offering must be carried out through the ICO Portal which have been approved by the SEC Board. Subsequently, the issuers have an ongoing duty to prepare and submit