maintain compliance with the approval conditions at all times. In the event that its proposed rules would affect the business operations or the interest of members, investors or stakeholders, the
In recent times, crimes regarding the capital market have become significantly more intricate, which is why SEC firmly believes that there must be an upgrade in the cooperation between related
example, each party shall pay the fee once a year in order to reduce the burden of business operators who, at present make payments of fees several times a year. SEC has made the public hearing document
In recent times, investment management companies are significant and connected to country’s economic system and have been growing continuously. By the end of June 2018, the net asset value
attack or any other damages occur. In addition, these business operators must prepare and deliver information involving calculation of net capital. In a case that net capital falls below 1.5 times of the
times within seven months up until this latest case. Laddawan, Orapin and Napas submitted to the SEC the results of the exam taken by Atcmima for their respective approval as investment consultant. The
as 1.21 times, which significantly affected EARTH's financial position. In addition, the sources, existence and status of such liabilities are still unclear and may widely affect the benefits of the
admitted that the client allowed him to sell the securities in cases of making profit or potential loss. From his conversation with the client recorded, he traded securities for the client several times a
potential loss. From his conversation with the client recorded, he traded securities for the client several times a day and submitted the selling orders at the prices lower than or equal to the purchase
holds 88 percent shares of GEP-Myanmar. If approved, it would also be a significant transaction worth over 7.95 times of the total tangible asset of VTE.The independent financial advisor has viewed that