investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
providing securities underwriting service or services limited as online branch office, or in case of the online branch office, the securities company shall extend its office hours to not early than 7.00 A.M
2019 SEC has ordered to amend Finanacial Statements ( 3 record(s) found) Name Description Details VENTURE INCORPORATION PUBLIC COMPANY LIMITED SEC extend the deadline for submitting CIRKIT’s revised
) Granting an extension to the maturity periods for six bond series as follows: - For bond series ECF255A, ECF255B, ECF256A and ECF246A: extend the maturity period by one year and six months
20230 Tel: 038-345-950, Fax: 038-345-693 GJS Quality Steel by Quality People No. GJS/ELCID-25/2560 September 25, 2017 Subject: Reports on Connected Transaction (the extend period for granted financial
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