Plain Investment Consultant
information that might adverse affect the client's benefits. Failing to inform sufficient information by concealing material information is, respectively, in violation of Clause 20(2) of the Notification of
adverse affect the client's benefits. Failing to inform sufficient information by concealing material information is, respectively, in violation of Clause 20(2) of the Notification of Capital Market
, said: ?Annual report and other reports such as quarterly financial statements and management discussion and analysis (MD&A) are a good source of material information on listed companies. The annual
The material events in the proposed rules are those already specified and currently required by the Stock Exchange of Thailand (SET) to be reported by listed companies. The proposed rules would allow
Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material
material and likely to affect the client's benefits.Following the complaint lodged by client and examination report of Bangkok Bank Plc., the SEC further probed into the case and found that the client
Bangkok, March 1, 2016 - The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred