August 2023, with which most of the respondents had expressed their views in agreement. As such, the SEC has issued a notification prescribing the requirements for information disclosure and risk
disclosure and risk warnings on such issues to ensure consistency and proper conduct by DA operators. The essences are as follows: (1) DA operators must disclose the risks on their financial condition
Squared Financial : Unlicensed securities and derivatives business (Disclosure Date : 17/09/2024)
offering). The independent financial advisor (IFA) considers that the information disclosure in this case is insufficient, and the company is exposed to the risk of absence of due diligence in the
Montpelier Financial Consultants : Unlicensed securities and derivatives business (Disclosure Date : 04/04/2013)
Infinity Financial Solutions : Unlicensed securities and derivatives business (Disclosure Date : 14/07/2015)
EBC FINANCIAL GROUP : Unlicensed securities and derivatives business (Disclosure Date : 17/09/2024)
Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval