accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A
Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he
Structured Note; (6) “subordinated bond” means an unsecured bond specifying rights of the bondholder subordinate to the rights of general creditors; (7) “company” means a [private] limited company or public
of the Newly Issued Ordinary Shares of the Company through a Private Placement which is a Connected Transaction, Capital Reduction, Capital Increase, Entering into the Right to Sell Advertising Media
company in category of mutual fund management company or private fund management company, such securities company shall have shareholders’ equity presented in latest financial statement, audited by auditor
thereof, as the case may be; (b) in case of a securities company in category of mutual fund management company or private fund management company, such securities company shall have shareholders’ equity
” means mutual fund manager or private fund manager; (3) “Register of Persons Qualified to be Fund Manager” means the list of persons approved by the Office of the Securities and Exchange Commission as