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
SEC plans to issue additional requirements relating to the structure of the Board of Directors and Management of IPO companies and listed companies to the current regulations on the check and balance system (for example, independent directors and audit committee members) that will enhance the image and create confidence for the Thai capital markets. In addition, this approach is in line with the principles of corporate governance (CG), which has been adopted since 2002 by most IPO companies...
had committed the several distinct and different offences, the Court inflicted the punishment prescribed for each offence as follows: (1) for being a director who acted to obtain falsified accounts or
information to the public and such information was incomplete, contrary to facts, insufficient for making an investment decision, or misled investors in a manner of concealing or disguise or making up non
investment consultant to take the said action. This led to an incomplete client analysis and inappropriate investment inconsistent with the client's demand and acceptable risk level. The SEC has suspended {E
$$$ Private debt Securitised debt Source: PRI PRI’s Fixed Income Workstreams SEC Classification : ใชภ้ายใน (Internal) 6 Source: PRI R e tu rn Risk R e tu rn Risk Different Responsible Investment Approaches: The
of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of information to the public and such information was incomplete, contrary to facts, insufficient for
categorized in different classes by types of returns, refunds, fees or expenses. The name of the REIT shall reflect key characteristics of the trusts. REIT units are required to be listed in SET. Offer for
auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has