regard to any claim of high return of investment, and check whether the solicitor has obtained a license or approval properly. Public fundraising through securities offering needs prior approval while in
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
derivatives business without obtaining license or registration from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 of an imprisonment up to
agents. Without obtaining derivatives license from or being registered with the SEC, they advertised through various media channels including Facebook and solicited investing public to invest in gold in
report, the SEC probed into the case and found that the said companies and persons, without obtaining license under Section 90 of the Securities and Exchange Act B.E. 2535 (SEA), jointly operated
public or instruments in which a fund plans to invest without the need to apply for an investment advisory license. The services provided by the said foreign CRAs are, however, limited only to permissible
บริหารจัดการ PVD และมี License ธุรกิจที่ปรึกษาการลงทุน สามารถลงทุนเพื่อเป็นทรัพย์สินของบริษัท แบบ short term speculation ได้หรือไม่ ข้อ 2 บริษัทกำหนดให้คณะกรรมการบริษัท 5 ท่านเป็นผู้พิจารณา
the contract, this Notification and relevant Notifications. Clause 7. The investment advisory company shall not permit the investment advisory agent to appoint a sub-agent. Clause 8.10 Repealed
Thailand so permit by virtue of law, the Securities and Exchange Commission acting as the Capital Market Supervisory Board under Section 60 of the Securities and Exchange Act (No. 4) B.E. 2551 (2008) hereby