Advisors and Scope of Work. The SEC, therefore, has suspended the approvals of {X1} Securites and {A} as financial advisor and financial advisory supervisor throughout the remaining periods of their
. ____________________Notes to the news• List of 26 business operators granted approval to be licensed wealth advisors is as follows:1. Seven securities companies, namely:(1) KTB (Thailand) Securities Public Company Limited
) Board governance structure: Requiring DA operators – except DA advisors and the DA operators holding client assets at an amount less than 500 million baht and having less than 10,000 clients – to appoint
work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website. Make corrections in the form as advised by the SEC after the
work system 3. Filing the original documents: 3.1 Download an application form for approval of wealth advisors from the SEC's website. Make corrections in the form as advised by the SEC after the
issuance and offer for sale of securities and the relevant professionals, for example, appraisers, and financial advisors; 4. Information regarding any action undertaken with the company applying for
Annual Report 2009 1 Annual Report 20092 Over the past year, the Thai economy experienced a recession for the first time since the Asian economic crisis in 1997. The first quarter saw a 7.1 percent contraction as a result of sluggish export in the midst of global financial crisis, diminishing demand of domestic private sector, and lack of confidence in economic and political directions. All these factors played out against a backdrop of weakening economies of our trade partners worldwide, which...
/Dealer/Underwriter and Financial Advisors Marketing IP/FG Ombudsmen Private Fund Marketing Representative (PF) Accountants and Auditors Executives of securities companies and personnel in securities
a valuable venue for networking and knowledge-sharing, the Roundtable produces policy reports and guides. The most important document remains the Roundtable‟s White Paper on Corporate Governance in
of Derivatives Business for Licensed Derivatives Advisors dated 1 February 2010; (28) The Notification of the Capital Market Supervisory Board No. Tor Thor. 7/2555 Re: Rules on Undertaking of