depending on the severity of the case. If the penalized party disagrees with the SEC order, an appeal can be filed. Administrative sanction ensures that supervision will proceed stringently and efficiently
depending on the severity of the case. If the penalized party disagrees with the SEC order, an appeal can be filed. Administrative sanction ensures that supervision will proceed stringently and efficiently
as well as the deliberations of a Working Group in May 2010. The report was en- dorsed by consensus at the annual meeting of the Asian Roundtable, 3-4 October 2011 in Bali, Indone- sia. The next phase
market components. Ultimately, the principles of good governance underpin the sustainable development of a vibrant capital market capable of meeting the market constituents’ growing needs as well as the
cannot function properly so that the management and storage of information concerning their business operation can proceed normally. Clause 18 Securities clearing houses and central securities depositories
(ACMF). The Thai SEC hosted the first semi-annual meeting. ● Signed a Letter of Intent (LoI) with the Securities and Futures Commission, Hong Kong (HKSFC), for mutual recognition of investment funds
pass this test and strive forward to deliver material and measurable accomplishments. As the market regulator, the SEC shall proceed to secure investors' confidence, build efficient and reliable markets
continually carried on. This includes, for example, preventive measures against siphoning by requiring transparent disclosure of information when applying for a resolution from the shareholdersû meeting to
decided in each agenda item should be provided in advance of the meeting. Shareholders should be able to query directors both in the meeting and by sending their questions in advance. They should also be
over investment management companies. The proposed revision also includes the ability for investment management companies to seek unitholders? resolution by holding a meeting for such purpose in addition