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,...
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
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
form of cash or short-term securities (Cash Company). In case of posting the Trading Halt (H) and Trading Suspension (SP) sign, trading activities are suspended when an event occurs and impacts decision
ของเงินสดหรือหลักทรัพย์ระยะสั้น (Cash Company)ขณะที่การขึ้นเครื่องหมาย H (Trading Halt) และเครื่องหมาย SP (Trading Suspension) เป็นการสั่งพักการซื้อขาย เมื่อมีเหตุการณ์กระทบต่อการตัดสินใจของผู้ลงทุน
, which aims to “protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.