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
customer’s knowledge and understanding, branch mentioned in the complaint, type of securities commonly named in the complaint, and amount of time the operator spent to resolve the problems, etc., will be
undertake the following acts: (1) establish the procedures for the preparation, monitoring and supervision of reporting to ensure that reporting is complete, accurate and timely; (2) require that reporting
the following acts: (1) establish the procedures for the preparation, monitoring and supervision of reporting to ensure that reporting is complete, accurate and timely; (2) require that reporting must
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
system for management and storage of information concerning their business operation in an efficient, concise and complete manner, which also allows such information to be compiled, processed, and made
, Ministry of Commerce, and have power to undertake any necessary actions in compliance with the instruction the registrar in order to duly complete the registration Details of the increase in the Company’s