securities business in the category of investment management. Clause 4 The prospectus shall provide accurate, complete and adequate 3 information for investment decisions by having characteristics and
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
Office and using such applicable form. 1The applicant in Paragraph 1 shall pay the application fee to the SEC Office when the SEC Office has received the application together with accurate and complete
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
warning of possible breach of investment terms in the redemption form.Given that the redemption was ahead of the five-calendar-year holding requirement to be eligible for the LTF tax benefits, {A}'s failure