conduct transactions under other person’s names, or avoids using his own name to open an account or process the transaction; (2) the client insists to open several accounts of the same type for no apparent
the same type for no apparent reason, which might indicate an intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to
attached to the said Form. The fact sheet in the prospectus under the first paragraph shall be printed with a font that is clear, legible and no longer than three pages of A4 paper, except for a complex
passed a resolution with at least two-thirds of all commissioners in cases of a commissioner, provided that the resolution and the order shall state clear reason therefor. If the office of the Chairman or
.............................................................................. 43 United Kingdom: Clear Policies Move the Needle on Stewardship and Engagement .................................... 45 KEY QUESTIONS TO ASK BY SECTOR Taking Investment Lessons from Socrates: Asking
Clause 6 In case where the facts become apparent that the SEC Office discovers any of the following suspicious circumstances, the SEC Office may not grant approval for the offer for sale of securities
position for the year 2017 with those of 2016. This report discusses principal changes in the unaudited consolidated financial statements. Overall market environment The Thai economy in 2017 showed clear
position for the year 2017 with those of 2016. This report discusses principal changes in the audited consolidated financial statements. Overall market environment The Thai economy in 2017 showed clear signs
include trend data that can help investors to assess the company’s strategy and prospects. For example, do disclosures indicate significant trends that are not evident from the financial statements and, if
Approval _______________________ Clause 241 Repealed. Clause 25 In case where any of the following grounds for suspicion becomes apparent to the SEC Office, the SEC Office may not approve the offer for sale