The Securities and Exchange Commission (SEC) participated in a panel discussion on the topic “Exposing Scams: Staying Ahead of Scammers 5.0” and presented an investor education exhibition booth as

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

and Looking Ahead ซึ่งเป็นเวทีสำหรับหน่วยงานกำกับดูแลและผู้ประกอบธุรกิจในการร่วมกันแลกเปลี่ยนแนวคิดและแนวปฏิบัติในช่วงที่เศรษฐกิจเริ่มฟื้นตัวจากวิกฤติ COVID-19 และการกำกับดูแลที่สำคัญในอนาคต ผ่านระบบการ

number of directors in order to move ahead with solving its problems which include indebtedness and inability to submit the company’s financial statements and appoint the auditor. IFEC’s future business

relating to employee incentives. On the upside, the maintenance, which would have occurred later in the year, is now complete so we do not expect major maintenance activity in H2 and have the ability to run

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

The Office of the Securities and Exchange Commission (SEC) participated in a panel discussion on the topic “Exposing Scams: Staying Ahead of Scammers 5.0” and presented an investor education

warning of possible breach of investment terms in the redemption form.Given that the redemption was ahead of the five-calendar-year holding requirement to be eligible for the LTF tax benefits, {A}'s failure

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.