Microsoft Word - hearing group limit _2_.docx เอกสารรับฟงความคิดเห็น เร่ือง การกําหนดเรื่อง sector fund และ group limit สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th

Clause 4 as the first category of prohibited characteristics; (2) having any record of deceitful, fraudulent or dishonest management of assets as specified by Clause 5 as the second category of prohibited

] Legal Group • responsible for providing legal advice on rulemaking and keeping up to date with legal developments. Enforcement Group • responsible for monitoring and investigating unfair securities

select high quality auditors. As for preparers of financial statements, this group of stakeholders will also be strengthened and supported through sessions of knowledge sharing on best practices of

group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes issued by a

that are difficult to detect. For example, (1) fraudulent transactions through a subsidiary located overseas that has obscure business objectives and is hard to inspect, (2) trading transactions and

Information Memorandum regarding the Acquisition of Assets (List 2) of Master Ad Public Company Limited The acquisition of ordinary shares in Gold Star Group Company limited (“GSG”) and The

to 227.9 mil. baht. - Total expenses increased 9% or 20.1 mil. baht to 244.4 mil. baht due to the following: 1) The Company had just detected a fraudulent practice of our credit supervisor and need to

indirectly, by the issuer who issues underlying shares; (3) having more than 25 percent of their total number of shares with voting right held, directly or indirectly, by the same group of persons with those

; An individual’s holding under Paragraph 1 shall include the shares held by his spouse or any minor child; “common person group” means the persons with one or more of the following relationships: (1