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,...
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
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and
as follows: - Management must constantly evaluate the progress of construction and compare the results with the plan. - In case there is any signal of incapability to complete the construction
Office and using such applicable form. 1The applicant in Paragraph 1 shall pay the application fee to the SEC Office when the SEC Office has received the application together with accurate and complete
. 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
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