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
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
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
made up evidence to camouflage that the person who ordered the trading transactions was the account owner to conceal such trading information from AEC and the regulator2. {C}'s case was deemed a failure
conceal such trading information from AEC and the regulator2. Patcharee?s case was deemed a failure to provide securities trading services according to the order of the account owner or the authorized
(“MRF-eligible master fund”), respectively. In this regard, an MRF-eligible master fund is deemed to have complied with the rules specified by each regulator2. In order for business operators to be able
”), respectively. In this regard, an MRF-eligible master fund is deemed to have complied with the rules specified by each regulator2. In order for business operators to be able to comply with the agreement under HK