Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
; (3) make a clarification in order that investors will receive information that is complete, accurate and true, or not misleading; (4) act or not to act in a certain way within a specified period for
and evidentiary documentation; - SEC official checks accuracy and completeness of the submitted documents; - If accurate and complete, the applicant pays the application fee and submits the payment
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
supplementary documents are true and complete and do not contain any false statement or omit any fact that should have been expressly disclosed in material respects; (b) I hereby acknowledge and give my
Representation and Warranty (a) I have given the company my personal information as stated above and hereby represent and warrant that all information and supplementary documents are true and complete and do not
authorized person(s) shall affix signature and the company’s seal (if any). 3. In case of a non-juristic group of persons, every authorized person shall affix signature. Coordinator
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
investment by changing from within July 31, 2017 to complete within November 30, 2017. From the Board of Directors’ meeting no. 2/2018 held on February 27, 2018, the Board of Directors has considered