ensure that investors would be informed of up-to-date, complete and sufficient information for investment decision-making in line with the globally recognized standards of the International Organization of
that the group of offerors were made aware of their duties and responsibilities to deliver a complete Form 247-4 to the shareholders, which is in violation of the Securities and Exchange Act B.E. 2535
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
Filing of the Registration Statement, Registration, and Other Applications when the application and the evidentiary documentation are accurate and complete in accordance with the Licensing Manual for the
Debenture Bond Basel Convertible Debenture IC Bond SUKUK Structured Debenture DR-Common share Depositary Receipt DR-Convertible debenture Depository Receipt Representing Foreign Securities NVDR Preferred