worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities

ได้เข้าร่วมประชุม MMoU/EMMoU Monitoring Group ซึ่งมีการรายงานการแลกเปลี่ยนข้อมูลของสมาชิกภายใต้กรอบความร่วมมือของ IOSCO และความคืบหน้าในการจัดการประเด็นต่าง ๆ รวมถึงการให้การสนับสนุนสมาชิกจาก IOSCO ใน

unitholders supplementary information for decision-making and must report the monitoring results to the board of directors of the asset management company and SEC.The revision is made to align with the

The Advisory Committee on Listed Company Monitoring to be chaired by SEC Secretary-General will play the role of monitoring progress on the consideration of legal proceedings and law enforcement

ก.ล.ต. ร่วมลงนามบันทึกความเข้าใจ (Memorandum of Understanding: MoU) กับ Commission de Surveillance du Secteur Financier (CSSF) หน่วยงานกำกับดูแลตลาดการเงินของราชรัฐลักเซมเบิร์ก ("ลักเซมเบิร์ก") เพื่อ

lower amount of such information disclosed in the first filing with the SEC. This could be considered that one of the two directors had lacked qualifications for being independent director. 2. Monitoring

Thai accounting standards, i.e. (1) no cash flow statement included and (2) incomplete and incorrect information disclosures such as no disclosure of some connected transactions, figures as shown in

submitted an incomplete registration statement (FORM 69-PP-PRICING) which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 7/2024 Settlement

case my application is incomplete and the SEC Office has already informed such incompleteness by e-mail, it is deemed that I entirely assent to such informed incompleteness as well as the period of time

income of the Observation Deck on the MahaNakhon Project. The valuation relies on assumptions and forecasted numbers. PACE then used the valuation results to recognize an investment amount of Baht 8,231