case my application is incomplete and the SEC Office has already informed such incompleteness by e-mail, it is deemed that I entirely assent to such informed incompleteness as well as the period of time
increase of trading credit lines of several clients who submitted incomplete financial documents, or whose financial condition was materially inconsistent with their financial transactions, or whose
accounts or documents, or made incomplete or incorrect accounts, he shall be liable to 5-year imprisonment and a fine of 500,000 baht.These made the total punishment of 94-year imprisonment and a fine of
investment consultant to take the said action. This led to an incomplete client analysis and inappropriate investment inconsistent with the client's demand and acceptable risk level. The SEC has suspended {E
disclosure of information that was incomplete, insufficient for making an investment decision, or that misled investors in a manner of concealing or disguise or making up non-existing facts in material
opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy
material incidents which affect operation of REIT (Milestone) in the past year, for instance, increase of investment or asset disposal of REIT, modification of trust instrument, change in major lessees, and
. Bhusana and Marupong had signed in acceptance of the complete construction and approved the full payment when in fact the construction was incomplete. Case 8: Committing a fraud by misappropriating money
to suspect that the material information disclosed to the general public is incomplete or inadequate to support the investment decision making, or misleading; (8) there are no grounds to suspect that
to the issuance and offering of securities or acquisition of securities for business takeover is incorrect or incomplete, the 17 Amended by the Notification of the Office of the Securities and Exchange