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

of NRI CIS: (more than one answer is possible) Equity Fund Fixed Income Fund Multi-Asset Strategy Fund Money Market Fund Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund Capital-Guaranteed

Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund Capital-Guaranteed Fund Any other type, please specify __________________________________________ 1 Legal entity refers to the legal form of Thai

of both Samaedum and Map Ta Put factories, especially Map Ta Put factory had to delay the service in August and September. The maintenances have finished and both factories are now ready to receive the

has failed to maintain the qualifications in accordance with the approval rules, or has failed to meet the conditons after aprroval, or has failed to diclose a complete, correct and sufficient material

accordance with the approval rules, or has failed to meet the conditions after approval, or has failed to disclose a complete, accurate and sufficient material information for investors decision making, the

investors to carefully and prudently study the information from the complete version of summarized significant features of securities (Fact Sheet) to clearly understand the product and appraise own risk

Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip