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Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
’ inquiries on the matter, as well as to communicate the facts clearly to their customers.In this regard, investors are advised to follow updates and information via the SEC’s website and Facebook page, as well
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
application together with the correct and complete evidentiary documentation, provided that the Thai feeder fund meets all the applicable requirements and all outstanding issues are addressed to the
complete evidentiary documentation, provided that the Thai feeder fund meets all the applicable requirements and all outstanding issues are addressed to the satisfaction of the SEC by such time. (2) A Hong