Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
Type of securities : Common share | Effective Date : 18/01/2024 | Close Selling Date : 24/01/2024
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory
ประเภทหลักทรัพย์ : หุ้นสามัญ | วันที่มีผลใช้บังคับ : 18/01/2567 | วันที่ปิดการขาย : 24/01/2567
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee
several public and academic positions involving policy making and advice giving in the specialized areas of finance and economic policy. His previous posts include Vice Chairman of the National Economic and
held several key positions involving policy making and advice giving in the specialized areas of finance and economic policies. His previous posts include Vice Chairman of the National Economic and
] Legal Group • responsible for providing legal advice on rulemaking and keeping up to date with legal developments. Enforcement Group • responsible for monitoring and investigating unfair securities
given more responsibilities in protecting investors’ rights to investment advice and quality information in the form of financial statements or otherwise. For example, listed companies must comply with