review of such facts for the applicant to clarify, all of which shall be executed within ninety days from the date of receiving correct and complete evidentiary documentation according to the Licensing
guidelines of financial advisor which are precise, reliable, secure and sufficient to ensure that the functions of financial advisor shall be performed in accordance with the professional standards and ethics
and has performed duties in compliance with the trust instrument and the relevant laws, including dismissal of the current assigned person and appointment of a new one; (3) governing that the investment
, ordered, acted, or omitted to order or act according to their duties, consequently causing STARK to commit an offense in the above case. They are therefore subject to the same penalties under Section 300 in
Suppiroj, Director of SEC’s FinTech Department acted as the moderator.Based on the panel discussion, there are the following issues. “Libra” is regarded as a challenge to the world and may become a key
TIGER share underwriting process (for which the KTBST acted as the financial advisor and lead underwriter of the TIGER Initial Public Offering (IPO)**). They had invited new clients to open private fund
5-year imprisonment and a fine of 500,000 baht for each count, totalling 30-year imprisonment and a fine of 3,000,000 baht, and (4) for being a director who acted to obtain unlawful gains, falsified
restrictions or duties; (5) avoids any action which may cause conflicts of interest or cause business operation out of reaching professional standards unless it is the action performed under the rules and
management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to rectify, undertake or omit from any acts in order
where the facts appear to the Office that any management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to