Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
, therefore, encouraged to thoroughly review the information and exercise their rights to protect their own interests. They should also make necessary inquiries to the bondholder representative to obtain
exercising their bondholders' rights and safeguarding their interests and to request all and any information necessary from the bondholders' representative to have complete information for further decision
information to the bondholders together with the opinions of the bondholder representative. The bondholders are, therefore, encouraged to thoroughly review the information and exercise their rights to protect
information and exercise their rights to protect their own interests. They should also make necessary inquiries to the bondholder representative to obtain complete information before making an informed
therefore advised that the JMT shareholders study the matter in detail, exercise the right to protect their interest, and seek clarification from the company?s management to gather complete information before
combined total of 10 percent or more of the total votes of shareholders attending and eligible to vote. The SEC recommends that HYDRO shareholders carefully study the information and exercise their
, without counting the votes of the shareholders who have an interest in the matter. The shareholders are strongly advised to review the information and exercise their right to protect their interest, as well