However, the submitted information still lacks main points to accompany consideration. The SEC has therefore instructed Zipmex in writing to provide complete details of the incident, which includes
Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and
rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failed to implement an adequate system to ensure the accurate and complete management and
all offenders in this case were impleaded according to the evidence obtained from investigation process. “The SEC has taken actions according to the authority under the SEA and collaborated with
obtained unlawful gains for themselves or another person which caused damage to GSC or others obtained benefit. In this regard, they jointly decided, approved, or ordered GSC to grant 7 loans to Asia Capital
, necessities and benefits which would be obtained from the disposal of Land and Buildings while considering the approval of Land and Buildings. In this regard, the Board of Directors’ meeting no. 2/2019 held on
. Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete, can be able to
derivatives business, both in document or electronic format, are accurate, complete, can be able to efficiently use within appropriate time, including having security system sufficient to prevent an access or
. However, the Entire Business Acquisition and Transfer Transaction by the Subsidiary is subject to the significant conditions precedent as follows: (1) PCCA shall have duly obtained a Certificate of Building