the matter carefully and exercise the voting right to protect own interest. They should also request NBC’s executives to clarify and answer questions in order to gather comprehensive information
sector, the SEC Board has approved to ease the regulations governing the establishment of an audit committee for certain types of securities companies. The audit committee is required to perform the duty
provide easily and thoroughly assessable disclosure channels to investors as opposed to the previous requirement for specifically disclosing certain types of information at the companies’ office or the
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
The Regulatory Guillotine* scheme is one of the key projects supporting the implementation of SEC Strategic Plan in the area of competitiveness enhancement and connectivity. The scheme enables a regulatory framework that requires issuance and revision of necessary rules and regulations and promotion of effective enforcement in line with international standards and current situations. In this regard, SEC has reviewed regulations on the operation of investment management business as presc...
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund | Offering Date : 29/12/2006 - 08/01/2007
THAI ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund | Offering Date : 14/08/2012 - 20/08/2012
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund | Offering Date : 07/09/2006 - 15/09/2006
UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund | Offering Date : 22/08/2006 - 28/08/2006