Kong covered fund in Thailand, the company shall notify such matter at least three months in advance unless the cessation of the offering is due to a merger or termination of the fund in Hong Kong, in

Hong Kong no longer wishes to offer a Hong Kong covered fund in Thailand, the company shall notify such matter at least three months in advance unless the cessation of the offering is due to a merger or

securities and derivative business by which many of investors has been victimized, the SEC wishes to notify that legitimate businesses are required to receive license to undertake securities business or

11 March 2024).               In the event that any client does not notify his or her intention or claim assets within deadline, Zipmex must arrange for the deposit of the client’s assets in a

information or transfer money to the accounts of private individuals. For effective reporting, it is recommended to directly notify relevant authorities for prompt and specific solutions of the cases, such

for the civil sanctions, the SEC will notify the public prosecutor in writing for filing the case with the Civil Court to seek a civil sanction with a maximum penalty as prescribed by law which shall

the civil sanctions determined by the Civil Sanction Committee. If any of them declines to give consent for the civil sanctions, the SEC will notify the public prosecutor in writing for filing the case

from the date specified in the SEC letter to be issued to notify their possession of the untrustworthy characteristics. _______________________* PTL financial year 2016 begins on 1 April 2015.** The

companies, investors then misled that they gain high returns at the first stage but not allowed to withdraw their profits. Later on, the companies will notify their clients to add more money due to investment

warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance