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
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
SEC Office shall notify the result of the deliberation of the application within 7 business days as from the date when the SEC Office has received the complete application and the evidentiary
conditions precedent by AWN, within 180 days from the date of the VTO Letter. In this regard, the Company and AWN shall each use reasonable effort to complete the following conditions precedent without delay
117 million has split into 3 transactions and it will be complete after completing the condition stated in the agreement. The first transaction; 51% of total share with the value of USD 2.04 million or
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