List of head of Compliance Please wait... List of head of Compliance No. Company Name Commencement Date Securities Company Asset Management Company Investment Advisory Company Derivatives Brokerage
Coindee Company Limited During April 28, 2025 to October 26, 2025, Coindee Company Limited, a digital asset advisory at the time of the incident, appointed an authorized director without obtaining
Coindee Company Limited During February 21, 2025 to October 26, 2025, Coindee Company Limited, a digital asset advisory at the time of the incident, failed to maintain the net capital in accordance
about transactions between the mutual fund and related persons; (8) risk factors of the mutual fund, including risks from asset utilization of the mutual fund and risk management measures, sorted in
Investment Advisory Securities Company Limited Remark: Data will be displayed within 3 years. Last updated on 19 January 2023
Advisory Securities Company Limited Remark: Data will be displayed within 3 years. Last updated on 19 January 2023
sufficient personnel to be able to operate the investment advisory service business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives
Devere & Partners (Thailand) Ltd. Devere & Partners (Thailand) Ltd. colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license
Mr. Fredrick Ian McIntyre Mr. Fredrick Ian McIntyre colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in