registration statement with the SEC Office. ** Notification of the Securities and Exchange Commission No. Kor Jor. 39/2564 Re: Determination of Definitions of Institutional Investor, Ultra-High Net Worth
. To report suspicious activities, please contact the SEC through the SEC Public Service Center Hotline at 1207, the official SEC Facebook Page at “สำนักงาน กลต.” (Office of the SEC), or SEC Live Chat at
Bangkok, June 21, 2016 ? The SEC and the Stock Exchange of Thailand (SET), with support from the Office of the Judiciary, have recently co-organized a capital market seminar to discuss how class
Global Markets Ltd. (Navista) for operating derivatives business without license. Following the reports on their suspicious unlicensed derivatives activities, the SEC conducted raids on GISP?s office
ACL Securities Co., Ltd.were considered a contravention of the SEC Office Notification concerning financial advisor approval and scope of business which specifies that financial advisor supervisor must
เฉียงใต้ของสถานทูตสหรัฐฯ ประจำกรุงเทพฯ (U.S. Regional Environmental Affairs Office in Bangkok) และองค์กรสตรีในด้านการเงินของเอเชีย (Women in Finance Asia) โดยมีผู้เชี่ยวชาญด้านการเงินจากภาคเอกชน หน่วยงาน
Commission Cambodia (SEC Cambodia), Laos Securities Commission Office (SCO), Pusat Pembinaan Akuntan dan Jasa Penilai Indonesia (PPAJP), Certified Public Accountants and Auditing Oversight Board Japan (CPAAOB
cost and revenue. The information material to investment decision such as key risks and progress of projects was therefore deficient.Their actions were considered as failure to comply with the SEC Office
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
complainant fell into the trap and later suffered damage from the investment.PPI office was located at 209/1 K Tower, Sukhumvit 21 (Asoke), Klongtuey Nua, Vadhana, Bangkok. Furthermore, PPI used website