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,...
accurate and complete; 2. I fully understand the provisions in the Notification of the Office of the Securities and Exchange Commission concerning Approval of Auditors in the Capital Market and am prepared
investors to better understand the Company and its subsidiaries’ 2nd quarter of 2018 reviewed financial statements. An Analysis of Performance * Analysis of Income The Company and its subsidiaries recorded
sufficient and complete information, as well as continuously providing knowledge and understanding on investment in bonds to the public.Moreover, SEC has established a mechanism for the investors to be able
will notify the results within 90 days after receiving the application and a complete set of the required documents. (2) Applying for automatic approval The mutual fund management company shall submit
considering the purchase of units of foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult