to complete the rectification and review process. After considering the request, the SEC determined that CHARAN is in a position to complete the rectification within the prescribed deadline
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment
Notification is to modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple
services to achieve the SEC mission and better serve the needs of stakeholders continuously. _______________________Remark: * The PACC has developed a guideline manual for establishing public sector
reasons, as an additional report, which is approved by the company’s board or audit committee. The SEC is confident that business operators’ implementation of this manual would not only help them achieve
investment readiness, enhance the understanding of investment products, enable access to investment opportunities to achieve financial goals, and safeguard against scams that exploit emerging technologies, all