Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to investors correctly and completely and without sufficiently notifying or giving information that was import...
the SEC Office and the SET on March 27, 2015 and March 30, 2015 respectively. The annual registration statement incompletely disclosed the information on Management Discussion and Analysis: MD&A and
of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the
of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the
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
within the period specified in Paragraph 2 shall pay an additional fee at twenty percent of the fee paid incorrectly or incompletely. Clause 8 This Notification shall come into force as from the following
within the period specified in Paragraph 2 shall pay an additional fee at twenty percent of the fee paid incorrectly or incompletely. Clause 8 This Notification shall come into force as from the following
within the period specified in Paragraph 2 shall pay an additional fee at twenty percent of the fee paid incorrectly or incompletely. Clause 8 This Notification shall come into force as from the following
the financial statements inaccurately or incompletely, the auditor shall disclose the facts and material impact on the financial statements in his audit report on which he is to sign in order to give
of being remiss of his duties, or perform his duties inappropriately or incompletely due to the fact that the financial advisor has certified the correctness of, and is jointly liable for, such