company’s compliance with the terms and conditions regarding the maintenance of the debt-to-equity ratio at the end of the quarter or at the end of the fiscal year without being deemed a cause of default
performance, for example, cross-shareholding, having the same directors, and the underwriter or the financial advisor being the creditor to the issuer, etc.The SEC, therefore, is proposing draft
client's damage. {A}'s misconduct was a failure to provide material information or warning statements to prevent investors? benefits from being compromised. He also failed to abide by professional ethics of
-making.Meanwhile, certain rules governing advertisement and sale promotion of mutual funds are also being revised to enhance clarity and flexibility.The SEC supports intermediaries in their offering of diverse
there has been consultation on the required legislation and it is expected to be put before National Assembly by June 2018. In New Zealand, the Passport Rules are in the course of being incorporated into
Nowadays, private fund operators are required to separate investors’ assets from the companies and there are measures to protect investors’ assets for other benefits. Private fund operators also
transactions as selling off the said assets will cause ADAM to be considered as a cash company. As a result, ADAM might be posted ?NP? (Notice Pending) by the Stock Exchange of Thailand (SET) prior to being
87,000,000 shares at par value of 0.50 Baht or 50% of IPO (174,000,000 shares) Spin-off Plan is consistent to UAC Plan by growing UAPC with business competency, strong financial position and being able to
unlicensed business operators at the exhibition. Failure to cooperate could lead to being considered as a supporter to commission of offenses. Concurrently, the SEC urges the public and investors to exercise
Thailand Sustainability Investment Index (SETTHSI), the well-being related sector, other potential industries and stocks with strong fundamentals, among others; Quality: to promote quality analysis research