Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
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Exchange Commission of Cambodia, and executives from the Cambodian Stock Exchange and securities companies during their visit to study the scope of work related to depository receipt (DR) and share views
investors to carefully and prudently study the information from the complete version of summarized significant features of securities (Fact Sheet) to clearly understand the product and appraise own risk
before making decisions to invest in initial public offerings (IPO). SEC Deputy Secretary-General Prakid Punyashthiti said: ?Investors should study the information of any financial instument of their
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are