Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
landfill is complete. However, the landfill cannot be used until authorities have checked the landfill and issue the permit. The permit is expected to be issued by Q3/2018. A new recycling plant (for non
the village as soon, so assessed the price of this land to 26,000 baht per square two-meters. Certainly, City Plus was assessed from complete public utilities. However, they don’t exist, now just has
to complete. Moreover, the 2016 inspection results of the auditors’ engagement showed that most findings were in the substantive testing phase, with the audit of revenue, the audit of inventory and the
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
generate higher income, and this scheme will complete at the end of this year. The usage amounts from money transfer are continually growing driven by a decrease of the number of banks’ branch then customers
2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice
Office and using such applicable form. 1The applicant in Paragraph 1 shall pay the application fee to the SEC Office when the SEC Office has received the application together with accurate and complete