Bangkok, August 25, 2014 - The SEC organized ?2nd SEC Working Papers Forum?, jointly with the Faculty of Commerce and Accountancy, Thammasat University presented research paper on ?How stocks react to bond issuance?. The paper showed positive response of listed companies? share prices to debenture issuance announcement, supported by the trade-off theory, weighting costs and benefits of debt financing.Dr. Vorapol Socatiyanurak, SEC Secretary-General said that the SEC Working Papers Forum, organiz...
Acting in Concert as a Result of the Nature of a Relationship or Behaviour and Requirements Under Sections 246 and 247 (No. 2)
Acting in concert as a result of the nature of a relationship or behaviour and requirements under Sections 246 and 247
check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The
ready for retrieval upon the SEC’s request, and (3) cancellation of reports that are no longer necessary. Under the current regulations, only 33 reports can be submitted via electronic means. After the
or litigation in matters relating to the function to be outsourced; (f) relationship with directors or executives of the intermediary ; (g) in the case where the service provider is located in a
litigation in matters relating to the function to be outsourced; (f) relationship with directors or executives of the intermediary; (g) in the case where the service provider is located in a foreign country
is related or has a relationship with other businesses in any of the following manners: (a) most of the directors and executives of such juristic person are the same group of people who are the