Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
: Transactions regarding rental of property not exceed 3 years 5) Details contract of rent : 5.1 MTC 2 Buildings, Land area of 9,252 square meter. Land, proprietary of deed number 27300 address 49 Moo 5 Nontri
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
Phaholyothin 32, Chankasem, Chatuchak, Bangkok. The land size is 1,924 square meter with 3-year leased period (March 1, 2020 – February 28, 2023. The Lessee is entitled to renew the lease for further 3 years of
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