suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country
) mission statements e) newsletters f) memorandums g) routine e-mail h) other: please describe Do professionals have access to guidance materials regarding the applicable Quality Control standards? 7 Are
Interest of Financial Institutions shall hold at least seventy-five percent of the total shares sold; and (2) the Ministry of Finance shall hold at least ten percent of the total shares sold. Clause 2 This
Interest of Financial Institutions shall hold at least seventy-five percent of the total shares sold; and (2) the Ministry of Finance shall hold at least ten percent of the total shares sold. Clause 2 This
Interest of Financial Institutions shall hold at least seventy-five percent of the total shares sold; and (2) the Ministry of Finance shall hold at least ten percent of the total shares sold. Clause 2 This
determining the characteristics of patronage and IPO allocation to patrons; and - To shorten the deadline for the IPO post-offering report from 45 to ten days as from the closing date.The proposed amendments
Bangkok, October 6, 2014 ? The SEC revoked approval of 2 securities investment consultants for ten years; Thanjira Phonwattanakul (formerly named Natthareeya Kulpakawa), a consultant of Tisco Asset
หลักทรัพย์ราย {ข} {ค} และ {ฆ} มีผลตั้งแต่วันที่ 11 มีนาคม 2557ก.ล.ต. ตรวจสอบการดำเนินงานตามปกติ (routine inspection) บริษัทหลักทรัพย์ คันทรี่ กรุ๊ป จำกัด (มหาชน) (บล. คันทรี่) พบว่า {ก} นักวิเคราะห์การ
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete
Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate