. Network Co., Ltd., and (4) Pat Thamma, director of P.T. Research Co., Ltd., on account of operating derivatives business without license. The SEC received complaints indicating that the aforesaid five firms
Bangkok, December 22, 2014 ? The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against Yuttana Lipirodkul for operating unlicensed securities
Malaysia, the Monetary Authority of Singapore and the Securities and Exchange Commission, Thailand in October 2013.This Framework allows fund managers operating in a member jurisdiction to offer CIS
of the initiatives undertaken by the ACMF as part of the regional capital market integration plan endorsed by the ASEAN Finance Ministers in 2009.? The Framework enables fund managers operating in a
financial institutions established under Thai law or foreign financial institutions** operating in a manner equivalent to commercial banks under Thai law, or margin loans for securities trading).(2) In
securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the information in the advertisement; (3) provide additional
) cease the advertising; (2) rectify the information in the advertisement; (3) provide additional information so that complete and accurate information is provided to investors; (4) act or refrain from
securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the information in the advertisement; (3) clarify complete and
Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the information in the advertisement; (3) clarify complete and accurate information to investors; (4) act or
advertising rules prescribed under this Chapter, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the