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
Ref: No 18/2005 Ref: No 32/2019 June 27, 2019 Subject : Promissory note from connected persons and granting financial assistance To : The President The Stock Exchange of Thailand The Board of
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
Microsoft Word - APCON loan 30 mb Roll-over _EN_ Revise II page 1/4 May 14, 2020 Subject : Notification of extension of financial assistance period to associated company (Connected person) To : The
to produce newspapers or other publications. In the event that the Company is able to complete all assets disposal transactions, the Company will have more cash flow as if were a cash company, but that
(MMOU), or a regulatory agency on securities or derivatives which has already signed memorandum of understanding (MOU) with the SEC Office, which the MOU contains the mutual assistance not less than as