lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A}  traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took

Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus

authorities of each level of employees related to the register of securities; (b) management and storage of the register of securities and related securities certificates; (c) examination of the internal system

significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases

competition and innovation and technology advancement. The 2015 plan comprises six strategic moves: (1) attaining high regulatory standards on par with internationally accepted standards; (2) enhancing

) disclosing the balance sheet, the earnings statement and the auditor’s report for public examination at the offices of the Derivatives Exchange and the Derivatives Clearing House; (2) publishing the balance

or concealing facts that should have been disclosed to the public An examination on the provision of Zipup/ZipUp+ services, which offer returns in the form of bonus reward for users of Z Wallet on the

over the two Indonesian mines. Moreover, no information was available with regard to the examination of the legal ownership of those http://capital.sec.or.th/webapp/corp_fin/datafile/FS

Listed Company Information Disclosure System when NUSA planned to invest in WEH shares. It was stated that NUSA had stipulated that the legal status examination regarding the right of ownership in WEH

China. However, according to the examination, no such deposit for the product to any company in China was found. Instead, a withdrawal or transfer of money out of a savings account of Winsound (Thailand