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, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial
from their failure to properly perform a due diligence in case of a company applying for initial public offering of shares as follows: 1. As the financial advisor supervisors, they failed to verify the
Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
capital market to focus on offering financial advisory and planning services that can be accessed by a wider public at a low cost. ” SEC joins with business operators in the capital market from consulting
operation for deficiencies in providing financial advisory services to the initial public offering (IPO) of a company, and deficiencies in performing duties as independent financial advisor (IFA) of another
) a commercial building project in Lamphun Province, and (3) an infrastructure and public utility development project in an industrial estate in Lamphun Province. In addition, the funds will be used
Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to
Bangkok, November 4, 2015 ?The SEC is seeking public comments on a proposed revision to the public offering rules to allow faster and more cost-effective fundraising procedures for listed companies