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
indicated impressive improvement in terms of audit manuals and audit programs for most of the audit firms. Nonetheless, more emphasis on some areas is needed, such as planning and risk assessment as well as
time, when informing company account profile change] 3 Manual on Electronic Transmission of Information or other related manuals provided on the SEC Office’s website (“Manuals”) and we agree to abide by
Electronic Transmission of Information or other related manuals provided on the SEC Office’s website (Manuals) and we agree to abide by the Standard Procedures and Manuals in all aspects. In the event that the
Procedures) and the Usage Manual on Electronic Transmission of Information or other related manuals provided on the SEC Office’s website (Manuals) and we agree to abide by the Standard Procedures and Manuals
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