Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling
: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund
(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a
■ Investor Education Program 4 6 8 10 12 [ APPENDICES ] Board of the SEC Executive Officers of the Office of the SEC List of Sub-committees Capital Market Performance 1999 - 2001 Dispute Settlement through
/phs1233904159Oryor7_2552.pdf Microsoft Word - เอกสารแนบ _1_.doc างผูลงทุนดานธุรกิจหลักทรัพยกบัผูลงทุนในธุรกิจดานอื่น ของบริษัทหลักทรัพย (conflict of interest) (10) มีมาตรการอยางเพียงพอในการคุมครองทรัพยสินของผู
will get all five seats, as s/he will always outvote the minority share- holder by 80:20. cumulative voting would allow the minority shareholder to cast all his/her votes (five times 20 percent) for one
share- holders (through what is known as 'tunnelling' 3 ), or misrepresenting an individual company's financial statements (of particular concern where the company is under pressure to meet expectations
all to understand and consider the issue as a priority. Those involved in the capital market must walk together into the right direction, share the same goal and be ready to turn to each other for
) Disclosure and transparency; The chapter identifies key areas of disclosure, such as the financial and operating results, company objectives, major share ownership, remuneration, related party transactions
to strengthen compliance Promote transparency in the initial public offering (IPO) share allocation process ● Required issuers to disclose their allocation methodology and clearly identify in the