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,...
strengthening capacities of the organization to cope with change and achieve the SEC Mission.”Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, said: “In laying out the SEC Strategic Plan 2021-2023, we took into
-being To accomplish these goals, the SEC has outlined organizational plan as a key enabler to drive and support the effectiveness of the intended outcomes and achieve the key results.Today’s seminar
well received by our customers, in order to increase new customers and maintain our existing customer base. The Company is still working on plan and can achieve goals The number of “Boonterm Kiosk” in
security pitfalls previously causing IT incidents in the capital market, and (4) the updated IT rules and guidelines issued by other regulators in the financial sector. The intended outcome is to accomplish
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
be conducted not only to accomplish social goals but also to enhance firm value. The relationship between CSR practices and firm value is inconsistent possibly because model misspecifications and
private placement scheme, the offering period and the offering price including the conditions and other relevant details as deemed appropriate to accomplish. This is subject to the scope approved by the