these amendments is to require advertisement and disclosure of trigger funds to be more inclusive to give investors a clearer picture of this type of fund so that they would have correct and complete
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
its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records
and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records of assets of each client
securities business in the category of investment management. Clause 4 The prospectus shall provide accurate, complete and adequate 3 information for investment decisions by having characteristics and
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
investors, solicits investors, or provides advice to investors or sets plans for investors with respect to trading of or investment in securities. Clause 3 A prospectus shall contain correct, complete, and
…..(date)….. and not guaranteed”; (8) the information under (5) and the statement under (7) shall be on the same page as the information under (3) and the font size of the information under (5) and the
’ offering price at /of ……. Baht and the occupancy rate at …….% which is the estimation for the period of …… year(s) ending …..(date)….. and not guaranteed”; (8) the information under (5) and the statement