investment account. In this regard, investors are usually requested to give the same information repeatedly when open a new account with different intermediaries. Such redundancy causes inconvenience and a
, researcher, Faculty of Business Administration, Kasetsart University described the study on the relationship between credit ratings and probabilities of falling into financial hardship in cases of companies
the Internet, and the inconvenience for thorough reading of lengthy registration statements and prospectuses.The proposal is not expected to add much compliance cost because in practice issuers tend to
different intermediaries. Such repetitive filing causes inconvenience and higher cost of accessing different capital market services from different intermediaries. This current practice may also affect the
, derivatives fund manager, investor contact and derivatives investor contact shall receive an approval from the SEC Office and whereas the flood catastrophe may cause obstacle and inconvenience to such persons
, a lot of different forms are in use and a lot of similar information is required in different forms. As a result, investors face the inconvenience of filling in the same information repeatedly every
. During such down time, access to all services cannot be made. We are sorry for any inconvenience. Best viewed with Internet Explorer 8 at 1152 x 864 screen resolution. สำนักงานคณะกรรมการกำกับหลักทรัพย์และ
; (2) not have financial condition that is likely to cause damage or any other circumstances that show its financial hardship; (3) within three years preceding the year of filing application toward the
circumstances showing the holder’s financial hardship; (2) within three years preceding the year of filing application toward the date of obtaining the license, not have criminal records indicating commission of