obtain insufficient evidences concerning purchasing of machinery and other items as well as non-compliance with generally accepted accounting principles concerning disclosure in the notes to financial
the Deposit Protection Agency Act B.E. 2551. The revision will require securities company or derivatives broker to deposit client?s money with commercial banks or invest in promissory notes and bills of
require that issuers of any type of debt securities use the same standardized factsheet form which accommodates product type-specific disclosure, for example, plain debentures, structured notes, securitized
December 2014, it was after the SEC’s probe had revealed such wrongdoing. In addition, he committed or permitted no record of important information in the notes to RAM financial statements for the year 2012
investor contact for one month, starting from August 10, 2011 and reprimands {B} and {C} on their actions and records their misconducts for reference in case they do not comply with the standards of conduct
2007 to August 2010, she had traded securities through the client's account as she realized that the client did not check his trading records. In case of losses or making payment for purchase, she will
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
POWER-P to pay 45 million baht higher than actual value as deposit for shares purchase of another company. In addition, he permitted false records or no record of important information in the company?s
market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders. He
หนาแฝง (Derivative - embedded Debt Instruments หรือ “Structured Notes”) ฝายกํากับธุรกิจจัดการลงทุน สํานักงานคณะกรรมการหลักทรัพยและตลาดหลักทรัพย ช้ัน 10 อาคารดีทแฮลมทาวเวอรส บี 93/1 ถนนวิทยุ แขวง