such as push selling or unsuitable distribution of financial products are found as a common area of concern arises in many jurisdictions, which poses challenge to the regulators. In this view, members
Bangkok, April 27, 2016 ? The SEC has revoked approval as securities investment consultant of three employees of AIA Co., Ltd., namely (1) Atcmima Pattanapinyokul, (2) Laddawan Preechasiriratna, and
?Academic Alliance? project to develop knowledge management for public and private sectors as well as economic, social and capital market development. The project aims at creating quality graduates through a
financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
arrange a special audit concerning transactions with MILL?s business alliances which may be considered as related parties and shares dilution in Million Miles Co., Ltd., formerly a subsidiary of MILL; as
Navista Global Markets Ltd. Navista Global Markets Ltd. (Navista) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The
GISP Ltd. GISP Ltd. (GISP) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The company contacted and solicited the public
SEC Secretary-General Ruenvadee Suwanmongkol said that bonds are an important mean of fund-raising that the business sector uses to create liquidity and expand their businesses, as well as use as
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.