of CD offerings by listed companies while flaws have been found in notices calling a shareholders? meeting to approve CD offering and authorized shares reserved for CD conversion. Without advice of the
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
Notification of the SEC Office. Clause 12 Upon receipt of the accurate and complete application together with supporting evidentiary documentation according to the Manual for the Public, the SEC Office shall
applications, waivers, notices and any documents relating to the allocation of such newly issued ordinary shares, including effecting relevant registrations with the Ministry of Commerce and listing such newly