Bangkok, 3 November 2017 ? The SEC emphasizes the importance of information disclosure in the registration statement and prospectus so that investors will be able to access complete information before making decisions to invest in initial public offerings (IPO). SEC Deputy Secretary-General Prakid Punyashthiti said: ?Investors should study the information of any financial instument of their interest before deciding to invest. In case of IPOs, investors can access important information in the p...
investment complies with the company’s investment policy framework as laid out by the Board, and that it has been considered carefully and reasonably. Despite exposure to several risk factors, the investment
decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
Bangkok, April 18, 2014 ? The SEC urged shareholders of GOLD and UV to carefully study information on valuation of GOLD?s assets in a proposed related party transaction at the upcoming shareholders
to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was
. The SEC, therefore, urges the shareholders to study relevant information carefully and seek clarifications from the IFEC management before exercising their voting right to ensure that appropriate
interested shareholders to be approved. In this regard, the SEC suggested SUPER shareholders carefully study relevant information, make inquiry at the shareholders? meeting and exercise their rights to protect
”)’s assets, failed to perform duties responsibly, carefully and honestly, seeked unlawful gain for himself or other persons causing damage to the company, and committed or permitting wrongful acts
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm