executive. The company?s reason for not setting such allowance was merely based on the quote from such former executive that he would have his assets sold in order to pay his debts and NIPPON securities under
report, the SEC probed into the case and found that the said companies and persons, without obtaining license under Section 90 of the Securities and Exchange Act B.E. 2535 (SEA), jointly operated
Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor
Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of
characteristics under the SEC Office Notification concerning financial advisor approval and scope of performance B.E. 2552. The SEC, therefore, revoked the financial advisor supervisor approval granting to {A}.In
presented the study on Thai equity fund performance and information of which investors should learn prior to making decision to invest in funds. The Forum was hosted under the Memorandum of Understanding
-General said that under the primary listing regulations, the supervision on foreign companies? public offerings of shares in Thailand will be in line with those applicable to Thai companies while certain
residing in Thailand that PPI solicited the complainant to transfer overseas pension to make investment under PPI's advice and management for the purpose of tax benefits and long-term returns. The
, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 re