investment to earn optimal benefits for investment owners and clients. Having such policy and close investment monitoring will encourage the invested companies to adopt good corporate governance and
state departments regarding the process of law enforcement. SEC has signed in various MOUs between relevant state departments. However, the operation requires more than a mere close cooperation, it also
DFSA. We strongly believe that a close collaboration between DFSA and SEC Thailand is a stepping stone towards stronger and continuing development of financial innovations and regulations in our
for promoting the development of financial innovation and regulations in our respective jurisdictions. We look forward to enhancing a close cooperation with the CSSF in the future.”Mr. Claude MARX
Understanding (MoU) where Suzuki Motor Corporation planned to purchase from the said sellers the shares of Thai Suzuki Motor Co., Ltd. The MoU prescribed a condition that the sellers must proceed to either close
into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close
financial reports on the close cooperation with all related parties, including auditors, accountants, audit committees, listed company executives as well as related accounting and audit regulatory bodies
Fund 75/25 (BLTF75/25) after only verifying the client?s name and the number of units to be redeemed without reviewing the client?s account statement nor calling for the client?s close attention to the
and take action against the offender under the law in due course. SEC and SET are in close collaboration to foster transparency and investor confidence._____________________________Notes: * SET
who were her close relatives and friends instead. In so doing, she secretly used her supervisor’s computer to change the names of the persons having the right to such IPO allocation. Consequently, the