Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete
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
Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
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
) / Father's Given Name ชื่อมารดา (ไม่ต้องระบุ นามสกุล) Mother's Given Name ข้าพเจ้าขอรับรองว่าข้อความข้างต้นเป็นจริงทุกประการ / I hereby certify that the above information is complete and true in all respects
accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC
projects of the Regulatory Guillotine scheme is scheduled to complete within the period of 2020-2021. The examples of pilot projects are as follows:1. Project to develop paperless processes for submission to