Sort by: Relevance Date (Newest) Date (Oldest) Result of IPO Sale Reports - FIRM : FRASERS PROPERTY INDUSTRIAL REIT MANAGEMENT (THAILAND) COMPANY LIMITED Type of securities : Real Estate Investment Trust
is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities - Banking - Digital Assets https
กิจกำรทุกขนำดสำมำรถระดมทุนได้ ใช้หลักเปิดเผยข้อมูล ไม่จ ำเป็นต้องมี FA ผู้สอบบัญชีสังกัด firm ที่ส ำนักงำน ตรวจคุณภำพระดมทุนได้ทั้งหุ้นและหุ้นกู้ ระดมทุนได้ทั้งหุ้นและหุ้นกู้แปลงสภำพ เครื่องมือและ
the specified level compared to the total number of outstanding shares. Additionally, the brokerage firm should monitor customer trading behavior to prevent inappropriate trading activities; (4) To
for rectifying the qualifications to be affiliated with an audit firm that meets the requirement of four auditors at a minimum, from 180 days to one year. The consultation paper is available at
operational systems for this purpose, the revised regulations will come into force as from 16 February 2024. ______________________________Remarks: * Means (1) a securities firm licensed to undertake the
financial market incidents. Dr. Peng Chen, CFA who serves as Chief Executive Officer, Asia (ex-Japan) for Dimensional Fund Advisors, a world leading investment firm, Deborah A. Fuhr, a prominent ETF expert
) The Securities and Exchange Act to be amended to enable SEC to register the audit firms in the capital market and to supervise and impose sanction on an audit firm in the capital market found by SEC
by not using knowledge and expertise as professional.In case of {B}, the SEC received a complaint from client of a brokerage firm that {B} had sent trading orders through client's account without