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
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
Offeror : (1) Hitachi Transport System (Thailand) Pte. Ltd. (2) Hitachi Transport System (Asia) Pte. Ltd. | Date of submission of the Statement of Intention : 21/04/2011
Offeror : (1) Hitachi Transport System (Thailand) Pte. Ltd. (2) Hitachi Transport System (Asia) Pte. Ltd. | Date of submission of the Statement of Intention : 11/05/2011
Offeror : (1) Hitachi Transport System (Thailand) Pte. Ltd. (2) Hitachi Transport System (Asia) Pte. Ltd. | Date of submission of the Statement of Intention : 22/07/2011
Offeror : (1) Hitachi Transport System (Thailand) Pte. Ltd. (2) Hitachi Transport System (Asia) Pte. Ltd. | Date of submission of the Statement of Intention : 10/08/2011
Supervisor ______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification
Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws