voting rights, as the transaction is considered connected transaction and a significant asset acquisition. The Audit Committee advised that WAVE should not increase their investment in TSE until the first
found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the
Bangkok, May 10, 2016 ? The SEC invites investors and the public to visit SEC Café Working Space at Money Expo Bangkok 2016 to learn more about smart saving and investment tools that could help them
Bangkok, May 10, 2016 ?? The SEC invites investors and the public to visit SEC Café Working Space at Money Expo Bangkok 2016 to learn more about smart saving and investment tools that could help them
trading orders, effective from January 19, 2013.The SEC found from its routine inspection that {A} had failed to record her investment advice and a client's securities trading orders for 14 days as
statements, certain information appeared in the interview was different from that disclosed in the registration statement (filing form). The differences include the information on gross profit indicated at 10
report from Phatra Securities Plc. that {A} failed to record many securities trading orders of his clients. {A} admitted that he took such trading orders via mobile phone.Failure to record client's
”) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the
(“UMI”) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with