notification is implemented/enforced practically, transparently and effectively. 10. Seek approval from SEC Board/CMSB/SEC Office before the notifications become effective * 11. Publicly disclose in the
auditor supervision as the auditor's role of independent professional is fundamental to investor confidence in publicly disclosed corporate financial information. The Securities and Exchange Act of 1992
the system to disclose information as specified by the SET. A listed company is prohibited from offering shares to a subsidiary. If the persons being allocated shares are related persons, the listed
financial information. In cases where the SEC finds that the financial statements contain incorrect information or misstatement, it will order the company to rectify such financial statements and publicly
is any) and must disclose sufficient information for making an investment decision. The levels of regulations will depend on the type of securities being offered; whether they are existing or new
, as well as taken into consideration the potential impact on the unitholders of each class. (3) Naming a mutual fund The name of a mutual fund shall not mislead investors about features, types
, as well as taken into consideration the potential impact on the unitholders of each class. (3) Naming a mutual fund The name of a mutual fund shall not mislead investors about features, types
investment goals. This may lead to multiple financial products in the investors' portfolios but insufficient solutions to the investors' long-term financial well-being. The SEC is proceeding with a strategic
investment goals. This may lead to multiple financial products in the investors' portfolios but insufficient solutions to the investors' long-term financial well-being. The SEC is proceeding with a strategic
required; Analyzing and assessing financial positions and the operational results of the business activities, as well as impacts on the shareholders, to come up with recommendations for the shareholders to