guarantee of returns, and that unit redemption ahead of the target date set in the investment scheme is not allowed must be clearly communicated to investors.In addition, advertisement based on past
) Information disclosure and risk warnings, as stated in (1) and (2), must be disseminated through all official channels of DA operators, communicated this matter to all clients, and informed such information to
follows due process of law, including collaboration with relevant agencies. In the case of STARK, upon learning of the news, we communicated with DSI our readiness to extend further collaboration, by
the preparers? duties and responsibilities will be communicated through training courses and seminars along with the collaboration between the SEC and the Federation of Accounting Professions under His
informed to the Audit Committee and the auditor to explain the facts and related actions regarding this issue. SEC requires the actions of the Audit Committee to ensure that SPRC has measures to improve
civil monetary penalty and disgorgement money will be transmitted to the Ministry of Finance as public revenue.
for sale from 1 April 2020.SEC Secretary-General Ruenvadee Suwanmongkol said that “the SEC held a meeting with asset management companies and the AIMC to explain details and answer relevant questions
explain the types of risks and returns for investors and promote investor education regarding subordinated perpetual bonds via various channels. The consultation paper is available at https
that the SEC has the power to suspend, revise or order business operators to explain in case any advertisement is inconsistent with the specified rules. The notifications on the said rules have been
meeting promptly so as to give shareholders an opportunity to appoint those they find appropriate as new directors, and to explain how his request for the DBD to review its decision or the intention to