. Clause 18 In outsourcing investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider, such service provider shall fully meet the following
investors to carefully and prudently study the information from the complete version of summarized significant features of securities (Fact Sheet) to clearly understand the product and appraise own risk
Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip
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
and preferred shares with the par value of THB 100 each. The shares are fully paid-up. The details of the shareholders are: 1. The Company holding 1,000,000 shares or 25.50 percent of the total capital
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