the bondholders’ representative, failed to maintain the required qualifications of a bondholders’ representative and neglected to notify the SEC Office of such disqualification. Consequently, he shall
Funds, REIT managers and trustees. Under the proposed amendments, investment management companies are required to maintain three types of capital, namely, (1) the initial capital or the minimum owner’s
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A
recording system for phone orders. Investor contacts, meanwhile, must take and keep complete and accurate information on their clients orders. And investors themselves must not ignore securities firms
Platform of Choice” in order to maintain existing clients with good track records while also broadening opportunities to acquire new patrons via digital channels. KASIKORNBANK has established its business
, BAM still believes that our strengths and strategy will keep the company to stay highly competitive in this market. หนา้ 3 3. Regulatory considerations Changes in banking regulations, such as those
from the companies’ ones and introduce measures to protect investors’ assets for other benefits. Asset management companies also appoint custodians approved by SEC to safely keep the assets of
. Asset management companies also appoint custodians approved by SEC to safely keep the assets of investors.However, SEC intends to amend the regulations to give permission for asset management companies
Zipmex to act in the best interest of its clients and in readiness for facilitating their asset withdrawal transactions. In this connection, to keep Zipmex’s investors updated and accurately informed about