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
, and all facts that should be disclosed are not concealed. The language initially used in the information or document that is submitted to the SEC Office according to this Notification shall be continued
characteristics thereof; (6) having not appeared that the intermediary deliberately concealed its financial status or operating result during backward 12 months before the expected date of establishing the branch
statements disclosed in the registration statements and draft prospectus and concealed the facts which should have been provided in the factsheets of the company’s corporate bond offering. STARK claimed that
submit or disclose material facts that POLAR ceased operating all or part of its business due to a court-ordered receivership on 3 August 2017, POLAR concealed such information and other activities
assets in the capital maintenance reports; (2) had concealed business control power and lacked good corporate governance by allowing the person, who was neither a company’s director, executive, nor staff
investors to carefully and prudently study the information from the complete version of summarized significant features of securities (Fact Sheet) to clearly understand the product and appraise own risk
Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip