Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
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
Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he
, Ministry of Commerce, and have power to undertake any necessary actions in compliance with the instruction the registrar in order to duly complete the registration Details of the increase in the Company’s
depositories shall set up a system for management and storage of information concerning their business operation in an efficient, concise, and complete manner, which also allows such information to be compiled
passed its application for rehabilitation process (2) being a company that the Thai court or the Foreign court has approved a rehabilitation (3) being a company that has complied with the plan to resolve
environment. The DLT is a new technology that would resolve and diminish any obstacles in businesses, as well as increase the efficiency in mutual fund investment and management, which will be quicker and
during day trading hour caused longer period for processing of TFEX?s trading and clearing system. Thus, TFEX had to extend its night trading hour for 40 minutes. To resolve such problems, TFEX requested
personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature