third party who is the owner of the assets in the client’s asset account as well. Clause 13 A securities company shall keep accurate, complete and updated records of assets of clients. In case of making
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
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
for Sale regarding Units of Real Estate Investment Trust (No. 5) dated 10 July 2015 (effective on 20 July 2015). 5 application together with the accurate and complete evidentiary documentation according
Filing of the Registration Statement, Registration, and Other Applications when the application and the evidentiary documentation are accurate and complete in accordance with the Licensing Manual for the
supervision and may pose a risk of scams. Concurrently, event organizers should exercise caution when allowing unlicensed business operators to set up exhibition booths, as this may inadvertently facilitate