to fund managers on various administrative and procedural matters including the application procedures, the use of local distributors in the offering process, and the procedures for remittance of funds
securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered
director of GLOBAL. Evidently, he purchased 75,000 GLOBAL shares on 22 August 2012 through the trading account of Ekkamon. Any securities purchase that makes use of a non-public fact that is material to
present, scammers use a variety of approaches and patterns to lure investing public; for instance, soliciting general public to invest in securities and derivatives or offering investment advisory services
-term debentures and B/E to allow issuing financial institutions to use financial statements prepared according to the generally accepted accounting standards and submitted during accounting periods as
on short-term debentures and B/E to allow issuing financial institutions to use financial statements prepared according to the generally accepted accounting standards and submitted during accounting
Bangkok, January 25, 2011 - The SEC has suspended four investor contacts for using clients? accounts to trade securities for other persons, interfering with clients assets, and failing to use
Signatories will issue a handbook in due course to provide guidance to fund managers on various administrative and procedural matters including the application procedures, the use of local distributors in the