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
SEC Secretary-General Ruenvadee Suwanmongkol said: “Due to the current situation of the COVID-19 outbreak, SEC has issued this support measure to help personnel in the capital market business to
. 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
information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct, and complete data processing
stored in the information centre and shall provide a measure on prevention of danger from the environment or any disaster arising to the significant computer devices in the information centre. Clause 6
planet. 2 ABOUT CDP CDP CAPITAL MARKETS | @CDP CDP runs the global disclosure system that enables companies, cities, states and regions to measure and manage their environmental impacts. With the world’s
measure and manage their impact. • Impact management allows companies to assess market opportunities and risks, gather insights from clients, deepen engagement with stakeholders, design effective products
that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts of interest and accessing inside