wrongdoing.In addition, he committed or permitted no record of important information in the notes to RAM financial statements for the year 2012, the first and third quarters of 2013, and the year 2013 in order to
) for falsifying the company?s documents and accounts in violation of Section 312 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The SEC?s finding indicated that Somchit proceeded or permitted
Office to visit and inspect the audit firm with which the applicant is affiliated or any other establishment necessary for the consideration of the application for approval, the applicant shall be
Securities Group LLC ("PSG" or "the Firm") is an SEC-registered investment adviser and represents the Public Securities Group of Brookfield Asset Management Inc., providing global listed real assets strategies
holidays. Clause 8. In the case where the securities company has been permitted to open on different hours and days from that indicated in Clause 3(1) prior to the effective date of this Notification, such
of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling precious metal in Thailand; (3
of derivatives brokerage limited to precious metal derivatives; (2) “precious metal trading firm” means any person engaging in business relating to buying or selling precious metal in Thailand; (3
derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “ precious metal trading firm ” means any person engaging in business relating to buying or selling
derivatives business in the category of derivatives brokerage limited to precious metal derivatives; (2) “precious metal trading firm” means any person engaging in business relating to buying or selling