Bangkok, December 23, 2013 - The SEC suspended three financial advisor supervisors, namely {A}, then an employee of {X1} Co., Ltd., {B} of {X1} Co, Ltd., and {C} of {X2} Plc. The suspension resulted
Forum (ACMF)?s implementation plan, the ASEAN CIS framework and the common standards concerning qualifications of the cross-border funds, management companies and fund supervisors, local representatives
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/2544 Re: Qualifications of Mutual Fund Supervisors _____________ By virtue of Section 121 of the Securities and Exchange Act B.E. 2535 (1992), the Office of the Securities and Exchange Commission hereby
: Qualifications of Mutual Fund Supervisors _____________ By virtue of Section 121 of the Securities and Exchange Act B.E. 2535 (1992), the Office of the Securities and Exchange Commission hereby issues the
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IPO and listing on the stock exchange. The seminar also included a knowledge sharing session among supervisors and insights into the financial advisors' role from the perspective of regulators
administrators, educational executives, supervisors, and educational personnel, equipping them to effectively transfer financial knowledge to students across all educational levels. This initiative encourages
Shareholders/Fund Manager/Mutual Fund Supervisors/Custodians/Auditors >> Registration and Qualifications Type Title Section See Document Status Notified Date Effective Date 1. Act Securities and Exchange Act