instruments; (7) The determination of guideline for complaint acceptance and handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related
avoidance of doubt, this Paragraph 5 does not apply to the notification of non-public information for any Enforcement Purposes in the jurisdiction of the Authority receiving the information, which will be
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
guideline and description about the risk factors and the criteria to risk scoring. This will encourage the assessor to better document the conclusion of risk assessment procedure and will also standardize the
Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil
or involved persons and vice versa regarding delivery of the underlying product; (2) procedure for handling default or delivery of the underlying product. Clause 15 In cases where a derivatives
: Offering of Units of Infrastructure Trusts (No. 4) dated 6 March 2017 (effective on 1 June 2017). 5 Clause 8 An application shall be filed to the SEC Office accordingly to the procedure prescribed by the SEC
several areas; for example, audit manuals and audit programs involving methods of sampling and substantive analytical procedure for the audits of revenues were tailored to be more situation appropriate
PowerPoint Presentation Procedure for Investigation and Enforcement Measures Sources of Information to stimulate enforcement actions The SEC Office’s preliminary consideration Has a sign of any