, complete and updated records of assets of clients. In case of making correction to any record, the securities company shall complete such correction within the same working day when the cause of correction
third party who is the owner of the assets in the client’s asset account as well. Clause 13 A securities company shall keep accurate, complete and updated records of assets of clients. In case of making
to complete the rectification and review process. After considering the request, the SEC determined that CHARAN is in a position to complete the rectification within the prescribed deadline
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
”, “greenfield project”, “financial advisor”, “debt financing” and “associated person” shall be construed as accordingly determined by the Notification of the Capital Market Supervisory Board on the Offering of
from the securities company that underwrites the structured notes and the issuer. The investors may study the registration statement and draft prospectus filed by the debt se with the SEC Office on the
, Ministry of Commerce, and have power to undertake any necessary actions in compliance with the instruction the registrar in order to duly complete the registration Details of the increase in the Company’s