Exchange Commission, Thailand (“SEC") to resolve the problem that the damaged investors could not get remedies from persons who violated or failed to comply with the Securities and Exchange Act. The SEC
that such redemption may cause liquidity problem to the mutual fund and thus affects other unitholders. For, funds of funds and feeder funds investing in large overseas funds, however, the redemption may
supervision, initiate cooperation and address key challenges, which can lead to common practices at the regional level in the future. IOSCO APRC Meeting will discuss important and challenging issues such
/preventive courses of actions. 16 Securities and Exchange Commission, Thailand Nonetheless, this problem still persists in some audit firms. For example, we found that some firms compensated their audit
were subject to civil sanctions under Section 296 of the SEA, as amended, too. The Civil Sanction Committee has resolved to authorize SEC to initiate a civil sanction proceeding against Chantip
) in conjunction with Section 244 (4). All three are liable to the penalties under Sections 296 and 296/2 of the SEA. The Civil Sanction Committee has resolved to authorize SEC to initiate civil
. } Develop a focus list. } Establish which types of engagement you are likely to employ as well as your level of resources to achieve your goals. } Determine how you will initiate communications with the
the registrar. The profit for the period therefore decreased as mentioned before. The Company has set procedure to solve the mentioned problem and believes that the ratio of net claim expenses over
information by requiring lead underwriters in the initial public offerings (IPOs) to issue 4 consecutive quarterly research papers for IPO shares. The requirement will help solve the problem of lacking research