other business operators within 2 years, the client will not be required to do the suitability test prior to making investment in newly issued shares, warrants or bonds. Also, the submission of client
ensure that investors would be informed of up-to-date, complete and sufficient information for investment decision-making in line with the globally recognized standards of the International Organization of
for investment decision making. SEC Secretary-General Vorapol Socatiyanurak said the SEC in collaboration with the Association of Thai Securities Companies (ASCO) urges each securities house to conduct
shareholders? rights and investors? decision making. THL must submit the report of the special audit to the SEC within December 9, 2011 and disseminate it to the public via the Stock Exchange of Thailand
for the decision-making on investment or using the service such as the clients’ assets investment scheme, the risks of ZipUp+ program and the conflict of interest together with relationship among Zipmex
in making financial transactions concerning the purchase of PDI's shares. 30/03/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
assisted Pinit in making financial transactions concerning the purchase of PDI's shares. 30/03/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
Limited (RPC) that may be materially misleading about JCKH and RPC in such a manner that is likely to affect the price of JCKH and RPC shares or decision making on JCKH and RPC shares investment. 13/12
(RPC) that may be materially misleading about JCKH and RPC in such a manner that is likely to affect the price of JCKH and RPC shares or decision making on JCKH and RPC shares investment. 13/12/2021