Capital Adequacy of Some Specific Intermediaries (No. 2) dated 20 February 2017. Clause 2 In this Notification: “intermediary” means an intermediary engaging in the business of investment advisory service

Company Investment Advisory Company Derivatives Brokerage Derivatives Dealing Commercial Bank Life Insurance Company Trustee foreign juristic person / organization under digital asset business Funding

Professor Pornanong Budsaratragoon, Ph.D., Secretary-General of the Securities and Exchange Commission (SEC), along with SEC executives, met with Professor Dr. Surakiart Sathienthai, Advisory Vice

investors to use more tool-specific services and have more investment alternatives to meet their demands.Given wider varieties of investment advisory services and larger pools of investment product

Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing

Public Company Limited which is offer to sale the debenture ALL242A and ALL252A, failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory

Mr. Ke Xiwei Mr. Ke Xiwei colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and

Mr. Zhou Zhou Mr. Zhou Zhou colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and

Mr. Cheng Jia Mr. Cheng Jia colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and

Mr. Lu Yangyin Mr. Lu Yangyin colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities