guideline for the benefit of compliance with requirements under this Notification. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the
outsourced activities, for providing services shall be within the scope of work and under the rules as prescribed in this Notification. Clause 4 The SEC Office may announce a detailed guideline for the benefit
the public. Annual General Meeting of Shareholders (AGM) continued to stand out in terms of agenda preparation, poll voting, and complete and timely minutes of meetings. Areas for improvement are
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
rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failed to implement an adequate system to ensure the accurate and complete management and