Bangkok, February 24, 2006 ? The SEC asserted its absolute impartiality in the investigation of all allegations related to the transactions of Shin Corporation Plc. ("SHIN") despite public criticism and the credibility issue concerning the UBS AG-Singapore ("UBS") statement earlier submitted to the SEC. The SEC held a press conference yesterday to announce the investigative results of the SHIN case. Like in any other cases, the SEC exercised its power and duty as assigned by the Securities...
taking administrative sanction against misconduct will be based on both the SEC?s perspective and views from experts through fair and transparent scrutiny process. In this regard, the committee?s first
August 11-13, 2004. The Securities Analyst Consultative Committee, after its scrutiny process, concluded that Ms. Ratanatavananananda did not have any intention to manipulate SCIB-C1 price but failed to
will become effective only after securities issuers or their financial advisors have filed complete and finalized material information with the SEC for public scrutiny for 14 consecutive days. The
rehabilitation plan by January 12, 2009 for the CMSB?s scrutiny. ?With the TSFC board?s decision to enter into the rehabilitation process so as to solve the company?s financial difficulties, the SEC deems it
make recording tapes of telephone conversations with their clients, especially when securities suspected of being speculated or subject to frequent scrutiny are involved and in cases of inappropriate
, comprising Deputy Secretary-General, all Assistant Secretary-General, and 6 directors from various departments, for thorough scrutiny. Thus, no single person can close the case or distort the fact
the consciousness-raising and support efforts of many organizations to create a more diverse and balanced workforce, with the belief that in the future, women leaders will be a significant target
. - Scrutiny on board oversight and governance issues - Increase in ESG-related litigation - ESG-related 1 2 3 Supporting the private sector to be future fit: PHASE 1: MANAGEMENT STANDARDS Under development
identify the end beneficiaries and enhance the efficiency of transaction scrutiny and law enforcement while building trust in program trading or algorithmic trading, which helps to increase the overall