/derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2 ______________________________ 1 In case
Attorney form in case of authorizing another person to file complaint; 3. Details of the person against whom the complaint is filed, i.e., full name, mailing address, phone number of intermediary / listed
. Fast track case for companies with good corporate governance and offer for sale of shares at a price not lower than the market price, which do not sell a share swap and the number of shares offered for
consideration Public Offering Placement (at discount) means i n the case of a listed company offering for sales of convertible shares or covertible securities, such as convertible debentures (CD) or warrant
– in case of a listed company Criteria for approval: can be divided into four cases, depending on the nature of share price indication based on the resolution of the shareholders' meeting. 1 st case
offender agrees to enter the fining process and pays for the fine in full as ordered by the Committee. The right to pursue a criminal case is terminated. Offences that could be settled by a criminal fine
year. In case of a listed company offering to sell shares at a discount through Public Offering Placement (PO Placement), it must also comply with additional criteria for low-price shares. For instance
company must arrange to have a monitoring process for the allocation to comply with the decision of the board of directors. For instance, an internal auditor may be assigned to monitor the allocation, etc
authority, for instance, authority to create encumbrance, consider merit promotion, appointment, rotation, remuneration of executives from the position of assistant manager and above. Executive director may
Contact us SHARE : Detail Content Complaints Please use this form in case of filing a complaint against SEC executives or staff for alleged improper or unfair duty performance, in