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
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Thailand (SET) to discuss possible solutions to the AGM holding of listed companies amid the spread of COVID-19, SEC has disseminated the circular and frequently asked questions to inform all listed
Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the
from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she
securities business in the category of investment management. Clause 4 The prospectus shall provide accurate, complete and adequate 3 information for investment decisions by having characteristics and
investors to carefully and prudently study the information from the complete version of summarized significant features of securities (Fact Sheet) to clearly understand the product and appraise own risk
Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip