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
TALIS ASSET MANAGEMENT COMPANY LIMITED|Long Term Equity Fund : LTF | Offering Date : 01/11/2016 - 07/11/2016
KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Long Term Equity Fund : LTF | Offering Date : 11/10/2004 - 20/10/2004
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
First Select Asia Limited : Unlicensed securities and derivatives business (Disclosure Date : 05/11/2019)
First Select Asia Limited : Unlicensed securities and derivatives business (Disclosure Date : 05/11/2019)
ONE ASSET MANAGEMENT LIMITED|Country Fund | Offering Date : 01/06/1998 - 08/06/1998
บริษัท หลักทรัพย์จัดการกองทุนทาลิส จำกัด|กองทุนรวมหุ้นระยะยาว | วันที่เสนอขาย : 01/11/2559 - 07/11/2559
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory