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,...

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

Association of Securities Companies (ASCO) agree that such research should contain complete, useful information for investors to make sound judgments. Thus, ASCO members are asked to provide such material

also make necessary inquiries to the bondholder representative to obtain complete information before making an informed decision at the bondholders’ e-meeting.   _______________________

proper and practical regulations, taking into account the best interest of investors and the capital market as a whole. The hearing is only the first step; there is much more to be done for the development

committees to obtain sufficient qualitative information from audit firms to support the selection of suitable auditors for the size and complexity of their business, ensure transparency, and promote the

Re: Particulars of Notice Calling Shareholders’ Meeting of Listed Companies to Obtain Approval for Issuance and Offer of Securities for Sale

information thoroughly and exercise their rights to protect their own benefits. In addition, they should seek further clarifications from the company?s directors and executives to obtain adequate information

also make necessary inquiries to the bondholder representative to obtain complete information before making an informed decision at the bondholders’ e-meeting.   ________________________Note: Daol

. 2. To prevent any impact on tax issue, SET will also require that shelf listed companies in 1 above must obtain IPO approval from SEC as well as complete its shares offerings and begin to trade