structure in accordance with the regulations or the conditions for approval under this Notification, but a certain fact leads to the consideration that the true objective or substance of such offering has the
Clause 22 An intermediary shall report the SEC Office in writing in case there is a certain fact appeared that the persons appointed or assigned to perform functions by the intermediary do not have the
characteristics in such case as the ground for prohibiting such person from performing duties. In this regard, the SEC Office may subject such person to certain condition or timeframe on a temporary basis. Clause
structure in compliance with the rules or conditions for approval under this Notification but certain facts lead to the consideration that the true intention or the substance of the offer for sale of the debt
this Act contains certain provision relating to the restriction of rights and liberties of persons which Section 29, in conjunction with Section 41, Section 43 and Section 44 of the Constitution of the
Activity Report 61En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2018 Executive Summary....................................................................................02 Quality Assurance Review Panel........................................03 Activities for Enhancing Financial Reporting Quality.................................................................................................07 Summary of Audit Inspection Results A. Firm-Le...
banks have specified certain conditions precedent which have to be satisfied prior to the drawdown of loan. The conditions precedent are in line with the general conditions precedent for the drawdown of
20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...
added Civil Sanction measures to the Securities and Exchange Act, and added more provisions on presumptive facts to reduce the burden of proof for certain offenses to expedite the law enforcement process
acknowledged the existence of such event; or (4) the rejection to sell an investment unit under an order which has been accepted or the suspension of accepting of purchase orders to a certain investor is due to