to undertake the derivatives business by a regulatory agency on derivatives in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO); 1 As added by the
notify thereupon to an intermediary within 30 days as from the date when the SEC Office received the application together with the correct and complete set of evidentiary documentation, unless where it is
Clause 8(2), the SEC Office shall deliberate and notify thereupon to an intermediary within 30 days as from the date when the SEC Office received the application together with the correct and complete set
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
Share Purchase Transaction with conditions that GLOW has to complete the sale of GLOW SPP1 Company Limited before or at the same time 1 The purchase price is reduced from the offered price by THB 4.5094