ชื่อผู้ได้มา/จำหน่าย :?PACIFIC HARBOR ADVISORS PTE,LTD. | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 22/01/2552
ชื่อผู้ได้มา/จำหน่าย :?PACIFIC HARBOR ADVISORS PTE,LTD. | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 23/11/2552
Procedures for Investment Advisors and Appointment of Investment Advisory Agents By virtue of Section 14, the second paragraph of Section 100 and Section 115 of the Securities and Exchange Act B.E. 2535 (1992
private funds, or investment advisors, which are fully qualified and ready to provide services, may apply for SEC’s approval to become the wealth advisor. There are currently over 40 operators interested
. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the
) Board governance structure: Requiring DA operators – except DA advisors and the DA operators holding client assets at an amount less than 500 million baht and having less than 10,000 clients – to appoint
assets to ensure accurate and complete conclusion before preparing and disclosing the IFA report even though there was material inconsistency with the information disclosed via the Electronic Information
Printable Format - Laws and Regulations Derivatives Advisors |- Registrar and Licensing |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital
, on the date of: 5. Information about the reporting person name WASATCH ADVISORS, INC. 6. Person authorised to contact with the SEC (if any) Mr. D. Thurber ( ) to amend or supplement Form 246
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities