, such as websites of DR issuers, underlying foreign securities and the Stock Exchange of Thailand. Furthermore, investors must study terms and conditions of deposit agreements to have thorough
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
inability to submit both financial statements and requested for further deadline extension. After thorough consideration, the SEC turned down the request this time.
and financial reports of initial public offering (IPO) and public offering (PO) companies.The proposed rules would require that the CFOs and accountants of the IPO and PO companies maintain thorough
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
, SEC Senior Assistant Secretary ? General, said: ?After a thorough analysis of the current financial reporting ecosystem and discussions with relevant parties including the SET and the Federation of
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