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
Nam. The ACMF is currently chaired by the State Securities Commission of Vietnam.More information on the ACMF and its initiatives can be found at the ACMF website at www.theacmf.org.For media queries
can be found at the ACMF website at www.theacmf.org.For media queries, please contact: Securities and Exchange Commission, Thailand1. Ms. Julawadee WorasakyothinDirector of Strategy and International
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
rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failed to implement an adequate system to ensure the accurate and complete management and
Chair will be the Lao Securities Commission Office (LSCO).• More information on the ACMF and its initiatives can be found on the ACMF website at www.theacmf.org.For media queries, please contact:Indonesia