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

Provinces Project has elevated Thai capital market?s role in the country development as it provides more opportunity and access for business to long-term fund source. By participating in the Project, the

audit. Accordingly, involvement of engagement partners and EQCRs must be elevated to attain high audit quality, coupled with updating audit manuals and audit programs according to the auditing and

people, we believe that the quality of researches will be continually elevated. In this coming August, Thammasat University will present two research papers concerning tracking debentures for investment in

investors to believe that there was strong demand for AKP shares at elevated prices. As a result, other investors followed suit and entered into trades. Once the price had increased, the accused group

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

ensure that investors would be informed of up-to-date, complete and sufficient information for investment decision-making in line with the globally recognized standards of the International Organization of