Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
. Remark: * Internationally recognized standards include, for example, the ASEAN Sustainability-linked Bond Standards (ASEAN SLBS) and the International Capital Market Association Sustainability-linked Bond
SEC proposes the amendment to Securities and Exchanges Acts in various aspects so that the law would be more flexible, able to keep pace with new development and suitable for actual use. It also aims
Complex Type 3 Investment Consultant
regard, the annual fee is calculated based on the shareholders’ equity presented in the financial statements for the latest accounting year that have been submitted to the SEC. In case of a listed company
securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A