consideration. The Minister will then recommend to the Cabinet a person considered appropriate to be appointed as SEC Secretary-General. For more information, please contact the Office of the Secretary-General at
and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment
knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC
manager, failed to comply with the rules, conditions, and procedures stipulated in the relevant notification. In this regard, Merkle failed to provide appropriate internal systems and processes for
appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently that violate section 113 of the Securities and Exchange Act B.E. 2535 (“SEA”). Therefore, Mr. Frearick
Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide the work system including appropriate and sufficient personnel
manner in which results of the distribution of the shares being offered are to be made public, and where appropriate, the manner for refunding excess amount paid by applicants (including whether interest
by 20 January 2025. The auditor expressed a qualified opinion on NRF’s interim financial statements for the third quarter of 2024 because the auditor was unable to obtain sufficient, appropriate audit
business operators provide appropriate risk warnings to investors, raise awareness of the risks associated with investing in digital assets, and promote the creation and dissemination of responsible
opinions on NRF’s interim financial statements for the third quarter of 2024 because the auditor was unable to obtain sufficient, appropriate audit evidence regarding the fair value measurement of the shares