Administrative Order Issuance is a legal action by virtue of the SEC Office’s regulatory power prescribed in those administered laws. This action shall be imposed on a regulated person who is disqualified or fails
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
= 10 million CASE STUDY-INDIAN STEEL COMPANY (CONTD) Physical Risk-Supply Chain Risk- As stated previously, cost of raw materials is likely to increase due to supply-chain disruptions Transition Risk
million, a 11.37% dropped or Baht 49.66 million same period of previous year. Because of Gain from sale of fixed assets stated in Q1/2018 consolidated financial statements at the amount of Baht 57.82
reimbursement of investigative expenses Cases Persons Fail to exercise duty of care - - - - - - - Presenting a false statement or concealing material facts that should have been stated - - - - - - - Disclosure of
increase of the capital under a general mandate may be carried out when it is clearly stated that the units will be allotted accordingly to the ratio and rules set out in the notification of the Stock
(“Comply or Explain” basis) on its company’s website and in its annual reports (if any). Institutional Investors who are regulated by the SEC, such as Asset Managers, are required to notify the SEC
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
a part of financial conglomerate which has share holding structure, examination of internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office
part of financial conglomerate which has share holding structure, examination of internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office has