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
; (3) make a clarification in order that investors will receive information that is complete, accurate and true, or not misleading; (4) act or not to act in a certain way within a specified period for
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
, for further in-depth investigation. Remark:* SEC News No. 134/2025, headlined: “SEC issues warning about blocking access to Bybit, 1000X, CoinEx, OKX, and XT.COM platforms on 28 June 2025 to protect
inappropriate acts have been committed and consequently subject to correction measures such as SEC order of financial statements rectification, and SEC warning for the shareholders to exercise voting rights. The
Statement (“Registration Statement”), and the effective date of the Registration Statement; - Specify the investor warning as follows: “Before investing, investors must exercise their discretion in