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,...
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
that the group of offerors were made aware of their duties and responsibilities to deliver a complete Form 247-4 to the shareholders, which is in violation of the Securities and Exchange Act B.E. 2535
ตลาดหลักทรัพย์ . Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete
report and the amended financial statements was 6 February 2017. KC requested an extension to the deadline of the special audit report to allow more time to complete the examination and review of all
within five business days from the submission date. If an application is submitted close to the approval expiration date and the applicant fails to provide all required documents or complete the
investing funds (SRI Funds); (2) the list of ESG bonds and SRI Funds, complete with basic information, such as types of bonds, total offering value, rate of returns, and credit rankings; or, in the case of
Heaven to make the additional disclosure of the tender offer to ensure that the information given to the public is correct and complete. If the offeror fails to meet the deadline on September 19, the