will lead to multiple dimension impact which is inevitable to participants in capital market businesses. All stakeholders in capital market must join forces to raise awareness among Thai business
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
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
Phase 1 was developed focusing on environmental objective, specifically in the dimension of climate change mitigation in the Energy and Transportation sectors, both of which emit highest greenhouse gas
. Thailand Taxonomy Phase 1 was developed focusing on environmental objective, specifically in the dimension of climate change mitigation in the Energy and Transportation sectors, both of which emit highest
sustainably in harmony with the environment in every dimension. SEC Secretary-General Rapee Sucharitakul said “SEC is committed to strengthening the capital market for growth and sustainable development by
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
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