(urgent case), effective since 11 March 2019. The SEC views that since IFEC Board of Directors is now eligible to form a quorum, the company should be able to proceed and seek solutions for the pending
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
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
that the Company uses to calculate the size of asset acquisition transaction is total of Baht 300 million and assigned the Management to set the closing date when complete the significant conditions for
complete information to the marketplace and the CRAs they solicit to provide credit ratings. While aspects of the IOSCO CRA Code deal with a investor protection by safeguarding the integrity of the credit