2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice
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
prescribed by the Office. The Office shall finish the consideration of the application for approval within forty-five days from the date of receiving the application together with correct and complete document
expectation that the building is to be completed by 3Q 2021. Construction of the international school is also proceeding according to plan, which was 13% complete by end July. We expect to finish construction
) & OCCUPANCY RATE TST TOWER & 33 GRACECHURCH FULLY OCCUPIED Renovation of Underwood Street office building continues and is expected to complete within 2018. Occupancy metrics will thus exclude Underwood Street
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
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