Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities

procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to choose a service or make an

rules: (1) having a procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to

: Contact person: Email: Name of local intermediary:[in case of an ETF, please state the names of market maker and participating dealer of ETF] Contact person: Email: * Please choose the following form that

: * Please choose the following form that has been lately submitted and effective:  Form 69 – CIS full (effective date on _____________________ )  Form 69 – CIS annually update (effective date on

have been known, but not exceeding 2 years from the effective date of registration statement. Please choose the following form that has been lately submitted and effective: ( Form 69 – CIS full

information becomes known or should have been known, but not exceeding 2 years from the effective date of registration statement. Page 3 of 4 Form 69 – CIS material update The Update Statements Please choose

investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives

statement and enclosures hereto. I hereby certify that all of the aforementioned documents contain the information which is correct, accurate and complete in all respects. I also certify further that the said

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