former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
, throughly and sufficiently operational system in order to ensure that the Institute of Appraisal Profession would be able to supervise and control its members who are appraisal companies and natural persons
capital utilization from previous PP capital increases. The SEC therefore ordered POLAR to submit documents and clarify the information thoroughly within seven days and publicly disclose such information
had already complied with the mandatory[M] completely, it shall be deem that the company had complied with this Notification. Providing that if the company had already complied with the accredit [A], it
the mandatory[M] completely, it shall be deem that the company had complied with this Notification. Providing that if the company had already complied with the accredit [A], it shall render the company
Center to enhance its role as an information consultant to prevent potential scam damage, urging the public to thoroughly check in case of uncertainty to make well-informed investment decisions. Mr
} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
securities operational systems, a failure in receiving subscription and redemption order, or NAV calculation; companies shall inform or publicize thoroughly and swiftly to customers or relavant persons to
trading systems or securities operational systems, a failure in receiving subscription and redemption order, or NAV calculation; companies shall inform or publicize thoroughly and swiftly to customers or