asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
information by requiring lead underwriters in the initial public offerings (IPOs) to issue 4 consecutive quarterly research papers for IPO shares. The requirement will help solve the problem of lacking research
from being capital market personnel and considered lacking trustworthy characteristics of directors and executives of issuing companies. Thus, the SEC revoked the approval as securities investment