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
PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
date for determining the underlying value: Guarantee/collateral: Method of redemption: Physical Cash Physical or Cash Etc. …… Principal protection at maturity date: Offering price: Condition for
Principal : Principal of payment at 1 year Collateral : None 4) Objective For working capital and project construction. 5) Total Value and Valuation criteria of the transaction 5.1) The transaction that the
substantial procedure performed by the REIT manager as follows: (1) prior to disposal of the principal asset, an evaluation of the principal asset has to be done at least in accordance with the provisions under
) specify details of every principal invested asset which categorized them by asset. The details shall at least include name, location, characteristic, usage, space size, lease term, building age, investment
commonly-accepted academic principal or the Page 3 of 32 (Unofficial Translation) international standard as prescribed by the Association of Investment Management Companies (2) Duty of Care The management
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
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