Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
Offeror : THAI INDUSTRIAL GASES PLC. | Date of submission of the Statement of Intention : 30/05/2002
Offeror : THAI INDUSTRIAL GASES PLC. | Date of submission of the Statement of Intention : 29/08/2002
Bangkok, May 30, 2012 ? The SEC notified Thai Unique Coil Center Plc. (TUCC) to rectify its 2011 and Q1/2012 financial statements due to auditor?s disclaimer of opinion. Within June 29, 2012, TUCC
is not an institutional investor , private equity , venture capital and investor having a specific characteristic. “ institutional investor ” means an institutional investor in accordance with the
not an institutional investor, private equity, venture capital and investor having a specific characteristic. “institutional investor” means an institutional investor in accordance with the Notification
her employer for six months. The SEC thus ordered another two months? suspension to complete the term. AEC Securities: (10) {K}, capital market investment consultant and investment planner, is
of each mutual fund, together with sufficient description thereof illustrating the distinctive nature of each mutual fund and the value of the pool of assets. Should there be any change in such
must provide details of the results of the offering of investment units of each mutual fund, together with sufficient description thereof illustrating the distinctive nature of each mutual fund and the
investment units of each mutual fund, together with sufficient description thereof illustrating the distinctive nature of each mutual fund and the value of the pool of assets. Should there be any change in