mutual fund Prescription of additional rules Calculation and announcement of net asset values (NAV) Procedures for incorrect pricing Sale and repurchase of investment units Preparation of mutual https
systems that may cause damage to investment, fund management inconsistent with prospectus, and incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants
units on day T, the mutual fund management company shall also reduce the number of the investment units on the day T. (5) Actions to take in the case of an incorrect number of the investment units (5.1
business, which also reduces redundant identification processes. As a result, trading account opening process in the capital market will be swift, effective, and reliable, also investors will be
2015 and 2016 were restated because fictitious revenue had been recorded. The SEC reviewed Patamavan’s engagement performance as NMG’s auditor and found that she failed to obtain reliable evidence that
identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
in the Thai capital market also resulted in higher level due to reliable financial reports of listed firms, helping facilitate those firms? overseas fund raising and boost competitive edge of capital
/2001 2. Notification of the Office of the Securities and Exchange Commission SorNor. 12/2545 Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of
)/company. 4 Incorrect or incomplete disclosure of financial statements or annual report of listed company. ● Undisclosed items / incorrect disclosure of information ● Other related documents/evidence
prepared incorrect accounts with intention to deceive others about those fraudulent actions, violated Sections 307, 308, 311 in conjunction with Section 313, and Section 312(2)(3) of the Securities and