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,...
. Subsequently, on November 6, 2018, the Board of Directors of the Company had resolved the resolution to the Company that it shall cease metals trading business at the end of the first quarter of 2019. PDI
In case a unit offeror has failed to comply with the rules as prescribed in this Notification, the unit offeror shall comply with one or many of the following acts ordered by the SEC Office: (1) cease
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
specified period, and order the foreign company to suspend the approved offer for sale of securities until clarification or correction has been made; (2) order the approved person to cease the offer for sale
complete its consideration on the request under clause 4 within fifteen working days as from the date the Office has notified the management company in writing that the Office has received complete documents
related with the management company. Clause 6. The Office shall complete its consideration on the request under clause 4 within fifteen working days as from the date the Office has notified the management
the Office’s electronic work system within thirty days as from the date the Office receives complete and accurate application and supplemental documents. In case the Office refuses to grant approval for