SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
Microsoft Word - S_2019_GRC-02_025_S43 Share Acquisition_EN Page 1 – Translation – GRC-02/2019/025 11 December 2019 Subject: Report of the Asset Acquisition To: President The Stock Exchange of
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manipulating the share price of Chai Watana Tannery Group Public Company Limited (CWT) and failing to report the acquisition and disposition of such shares to the SEC for the amounts of 500,000 baht and
manner of boosting the share prices, matching orders among themselves, or executing trading orders in a manner of obstructing trading activities of other persons. Their actions misled the general public
their voting rights. DEMCO will gradually increase its holding in Aeolus from 8 to 27 percent whereby 35,135,134 newly issued Aeolus shares with a par value of B10 each will be subscribed at B37 per share
? meeting will be held on July 8, 2011.WAVE plans to acquire capital increase shares in TSE to maintain its 10 percent shareholding or may increase its holdings up to 35 percent, at a price of B10 per share
all stakeholders and TSFC is required to submit monthly progress report to the SEC.?