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

KASIKORN ASSET MANAGEMENT COMPANY LIMITED| | Offering Date : 09/08/2021 - 13/08/2021

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

SEC MRAP : ข้อมูลหนังสือชี้ชวนและรายงานกองทุนรวม WP-SPARK โปรดรอสักครู่... ข้อมูลหนังสือชี้ชวนและรายงานกองทุนรวม รายละเอียดกองทุน ชื่อย่อกองทุน : WP-SPARK ชื่อกองทุน (ไทย) : กองทุนเปิดเวลธ์พลัส ส

: Thai SEC’s Impact on Financial Innovation” ในงาน Block Mountain 2025 “Spark the Future: Explore Web 3.0 Experience” เพื่อแสดงให้เห็นถึงแนวทางของ ก.ล.ต. ในการส่งเสริมการระดมทุนผ่านโทเคนดิจิทัลและการนำ

Digital Asset Regulation: the Thai SEC’s Impact on Financial Innovation” at Block Mountain 2025: “Spark the Future: Explore Web 3.0 Experience” event. As a guest speaker, the SEC Director highlighted the

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

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

Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification