failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory

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

within five business days from the submission date. If an application is submitted close to the approval expiration date and the applicant fails to provide all required documents or complete the

Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives

?Bangkok, December 18, 2012 ? The SEC is seeking public comment on a draft revision to the rule governing arbitration procedures in order to bring about flexible, complete and appropriate practices

. Notification of the Securities and Exchange Commission No. KorKhor. 9/2552 Re: Rules on Application for Obtaining Approval and Granting to Perform Trust Business ___________________________________ By virtue of

Healthcare Center Co.,, Ltd. - a subsidiary of the Company and Wuttisak Clinic Inter Group Co., Ltd. – an indirect subsidiary of E FOR L Aim Public Co., Ltd. had been complete; and further progress shall be

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

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

Notification* after the public prosecutor had charged them in court on account of failure to perform duties by law at the NMG 2015 annual general shareholders? meeting.  The NMG directors and executives are: (1