States) AuditorAccountsT Business Operators Registered Persons Wealth Advice for All A Settlor of an Infrastructure Trust A Trustee of An Infrastructure Trust Digital Asset Business Operators Secondary
เอกสาร Download Download Result Download RIA [{"Filename":"Consultation https://www.sec.or.th/EN/Pages/PB_LISTVIEW.aspx English (United States) WealthAdivceforAll Registered Persons Wealth Advice for All
) WealthAdivceforAll Registered Persons Wealth Advice for All A Settlor of an Infrastructure Trust A Trustee of An Infrastructure Trust Digital Asset Business Operators Secondary Market and Related Entities
. Director of Corporate Communication and Investor Service Department Pariya Techamuanvivit, provided advice for investors and warned them of investment frauds and the seminar was moderated by Director of
, claiming that the fund will be used to make investment in stock and derivatives exchanges. In addition, Yuttana held himself out as investment advisor, offered advice and obtained benefits from giving advice
., is suspended for three months for failing to take care of a client's account, and instead assigning her subordinate who was an authorized trader to contact, solicit and give advice on securities
, Chonburi 20230 Thailand Tel. 66‐38 480‐020‐1 FAX. 66‐38 480‐080 (Translation) AF.007/2020 26 February 2020 Subject : Approval of transaction contract of rent with connected persons To : Managing
prior approval from the Office; the Office, therefore, stipulates the approval for a securities company licensed to undertake securities business in the category of mutual fund management, private fund
) _____________ Whereas Section 100 of the Securities and Exchange Act B.E. 2535 (1992) provides that the appointment of any person to be an agent or broker of a securities company shall require prior approval from