?s purchase. The letter of guarantee on the Fund?s revenue prepared by him contains the conditions, not in compliance with the Fund scheme. Nukul also received some benefits from the property seller to
work systems, causing the company to fail to operate its business in compliance with the governing regulations. Therefore, on 19 March 2021, by virtue of Section 35 Paragraph 1 of the Emergency Decree
compliance; (2) Revoking notifications that are no longer necessary or become overlapping, for example, repealing the rule requiring asset management companies to notify the fund’s annual report
capital market auditor in compliance with the revised notification. __________________________ Remarks: * Notification of the Office of the Securities and Exchange Commission No. Sor
securities companies to prevent the misuse of such securities as a tool to evade compliance with relevant regulations such as the compulsory reporting on acquisition and disposition of securities, or to
securities companies to prevent the misuse of such securities as a tool to evade compliance with relevant regulations such as the compulsory reporting on acquisition and disposition of securities, or to
The SEC reviewed the principles for overseeing bills issued as securities to ensure compliance with the intent of the Securities and Exchange Act B.E. 2535 (1992) and consistency with the current
ต่อผู้บริหารระดับสูงพิจารณาว่าการโฆษณาเป็นไปตามหลักเกณฑ์ด้านโฆษณารวมทั้งหลักเกณฑ์อื่นที่เกี่ยวข้องก่อนจะเผยแพร่โฆษณา และให้หน่วยงาน compliance ติดตามและตรวจสอบภายหลังการเผยแพร่โฆษณา รวมทั้งจัดทำรายงาน
ดังนั้น กรณีดังกล่าวจึงไม่ใช่เรื่อง outsource 2. การให้สิทธิ Group Compliance สามารถเข้าถึงล่วงรู้ข้อมูลรายชื่อหลักทรัพย์ WL / RL ซึ่งถือเป็นข้อมูลภายใน การเปิดเผยจะกระทำได้แต่เฉพาะกับผู้
, selection of service providers, and compliance with local rules and regulations. The SEC has therefore instructed CHUO to cooperate with the auditor in providing information and documents and submit the