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
investors, solicits investors, or provides advice to investors or sets plans for investors with respect to trading of or investment in securities. Clause 3 A prospectus shall contain correct, complete, and
, the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering
submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial
ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
capable of providing timely access to information. Clause 16 In offering structured notes that the repayment is fully or partially made in form of a physical delivery of shares, the underlying shares shall
, property, plant and equipment increased by Baht 76.42 million which was new machines that ordered since last year but the shipment delayed until the early of this year and there was some capital expenditure