Mr. Chen Xiaoxiang Mr. Chen Xiaoxiang colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the
Mr. Xin Ye Mr. Xin Ye colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and
with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90
Mr. Artit Suntawanic Mr. Artit Suntawanic alleged offenders in operating securities businesses and derivatives businesses of investment advisory without obtaining license from the SEC by using
, referencing a broad set of complementary criteria as relevant. The GBP are collaborative and consultative in nature based on the contributions of Members and Observers of the Principles, and of the wider
this asset disposition. In this regard, the company appoints Jay Capital Advisory Limited to be Independent Financial Advisor (IFA) in order to give opinion on the company entering into the disposition
respondents, SEC has allowed more types of businesses within the four business groups to participate in a regulatory sandbox, as follows: (1) Intermediaries, i.e., securities investment advisory service
preparedness and response. Professor Dr. Surakiart Sathienthai, Advisory Vice Chairman and Executive Chairman of the Friends in Need (of “PA”) Volunteers Foundation, along with the Foundation Committee
ภายในภูมิภาคในอนาคตเป็นอีกหนึ่งเรื่องที่ ACMF สนับสนุน เพื่อให้ผู้ลงทุนมีโอกาสได้รับบริการในตลาดทุนทั่วภูมิภาคได้มากยิ่งขึ้น ซึ่ง ACMF จะร่วมกับภาคเอกชนผ่านเวที ACMF Industry Consultative Panels (AICP
by regional capital market professionals. The ACMF has engaged with the industry through the ACMF Industry Consultative Panels (AICP) in developing proposals that meet their needs and will continue to