securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
However, the submitted information still lacks main points to accompany consideration. The SEC has therefore instructed Zipmex in writing to provide complete details of the incident, which includes
Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and
rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failed to implement an adequate system to ensure the accurate and complete management and
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
to invest in the project due to reasonable return and low risk, despite the fact that the IFA’s opinion on the risk of unclear source of funds, and present to the shareholders for approval. Agenda 10
aforementioned assets. Moreover, the backgrounds surrounding NUSA’s petition for the Court’s revocation of the share swap contract with WEH shareholders remained unclear, with anticipated potential impacts on NUSA
are various unclear matters such as management structure, the board of directors’ structure, person holding Chairman of the Board of Directors position, and impact of the dispute on the lawsuit to