Repo service to ordinary persons categorized as institutional investor to proceed in the same manner as with non-institutional investors. For example, securing a risk management system related to
subject to temporary trading suspension. In addition, the company must proceed to have new operating business to meet the SET regulations within 12 months while its business plan remains unclear
fails to comply with the Appeal Court’s judgement, SEC shall proceed with legal execution in accordance with the legal process in due course.”In any case, the civil penalty and the compensation for the
to maintain the qualifications as head of audit firm or partner or equivalent position from being terminated as capital market auditor immediately as long as they proceed to rectify and resume the full
Governance of Publicly Traded Company - Definition (Section 89/1) - Qualifications and the removal of directors and executives (Section 89/3 - 89/6) - Duty and responsibility of directors and executives (Section 89/7 - 89/14) - Shareholders’ rights under Chapter 3/1 (Section 89/26, 89/28, 89/30) - Shareholder’s right to bring a derivative action and a private lawsuit against directors and executives (Section 89/18 - 89/20) - Criminal liability of directors and executives (Section 281/2, 281/3, 2...
also be empowered to proceed with subsection (2), (3) or (4). SECTION 51. In cases where the SEC Office issues orders to suspend the operation of a derivatives business operator either in whole or in
also be empowered to proceed with subsection (2), (3) or (4). SECTION 51 . In cases where the SEC Office issues orders to suspend the operation of a derivatives business operator either in whole or in
direct sales market and alter its marketing budget in line with revenues from sales and focused more on online channels. The company has the distribution costs for the first six month in total of 229.1
, (4) management override of internal controls, (5) fabrication of accounting transactions in the information system by using the executives’ privileged access right to alter information, and (6
client’s assets without delay upon receivership by court order, in compliance with the following regulations: (1) The SEC Office shall proceed with the segregation and management of the client’s assets by