Other Applications when the application and the evidentiary documentation are accurate and complete in compliance with the Licensing Manual for the Public. In the case where it is necessary for the SEC
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
consideration of issuing a license within sixty days from the date on which the SEC Office receives the application and supplementary documents in full. The Securities and Exchange Commission shall complete its
shall complete its consideration within thirty days from the date on which it receives the matter from the SEC Office. The license for gold derivatives brokerage business shall be in the form attached to
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
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