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
a leading commercial bank in Indonesia, offering a complete range of banking products and services to over 3.5 million retail, SME, and corporate customers. It is listed on the Indonesia Stock
) Checklist: - Submit Form 61-1F and evidentiary documents under Clause 15; - SEC official checks accuracy and completeness of the submitted documents in Clause 15; - If accurate and complete, the applicant
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
investors, solicits investors, or provides advice to investors or sets plans for investors with respect to trading of or investment in securities. Clause 3 A prospectus shall contain correct, complete, and
competitive landscape remains challenging. We saw particular weakness in the steel sector as uncertainty led to reduced production and after a record sugar season in 2018 this sector has been behind our