Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he
her employer for six months. The SEC thus ordered another two months? suspension to complete the term. AEC Securities: (10) {K}, capital market investment consultant and investment planner, is
to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time. Despite no intention to conceal information in the
to comply with the regulations as specified by the Capital Market Supervisory Board by assisting or facilitating the group of offerors in preparing the tender offer (Form 247-4) without attaching the
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
fund operators file with SEC, instead of using BOT’s portfolio and derivative investment aboard (PIA) form.To ensure complete information in the report which will replace the PIA, SEC has proposed
The ESG Product Platform is an information center for sustainability financial products, developed by the SEC to provide convenience to participants in the capital market, such as companies
Mr. Arkhom Termpittayapaisith, Minister of Finance, presided over the public conference and gave a keynote address on the topic, “Capital Market Development Policy: Mechanism to revive Thai Economy
) IPO ( 3 ) Financial Report ( 2 ) Intermediaries ( 2 ) Investors ( 2 ) Market Data ( 2 ) Market Professionals ( 2 ) International Relations ( 1 ) Takeover ( 1 ) More >> Documents Adobe PDF ( 439