revision specifies that retail investors and investment management organizations for individual investors must collectively hold at least 50 percent of the total investment units sold, and at least 25

} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation

of the debt securities. 2. Indicate whether the debt securities are registered or bearer securities, the total nominal amount of the debt securities as well as the individual face value of each type of

correctly, completely and up to date, and shall keep them for not less than two years from the date of preparing such document evidences: (1) information of a customer using for supplementing the giving

well as the individual face value of each type of debt securities offered or listed. 3. Provide information about the form of the security, such as whether investors can obtain physical certificates or

system ready for keeping assets into its custody; □ (3.8) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian

its custody; □ (3.8) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; □ (3.9) System to ensure that the

Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s

result, sales expenses was higher than the same quarter in 2016 at Baht 11.16 million. Advance Prefab Co., Ltd., the precast concrete products manufacturer, completely established its plant and has started

, GPSC has received an official written letter from the ERC, notifying the resolution of the ERC’s meeting No.16/2019, which approved the merger between GPSC and GLOW as GLOW has completely fulfilled the