operation for deficiencies in providing financial advisory services to the initial public offering (IPO) of a company, and deficiencies in performing duties as independent financial advisor (IFA) of another
comply with the requirements accordingly. Sincerely -signature- (Mr. Vorapol Socatiyanurak) Secretary-General Intermediaries Supervision and Development Department Telephone: 0-2263-6255 Fax: 0-2263-6446
comply with the requirements accordingly. Sincerely -signature- (Mr. Vorapol Socatiyanurak) Secretary-General Intermediaries Supervision and Development Department Telephone: 0-2263-6255 Fax: 0-2263-6446
comply with the requirements accordingly. Sincerely -signature- (Mr. Vorapol Socatiyanurak) Secretary-General Intermediaries Supervision and Development Department Telephone: 0-2263-6255 Fax: 0-2263-6446
hours everyday) : e-mail : complaint@sec.or.th Telephone : 1207 press 2 (complaint) or press 5 (inquiry), 081-751-2841, 081-426-5434, 063-959-8383 Postal mail : The Securities
telephone/facsimile at 0-2033-4620 or 0-2263-6050 or email: nattasasi@sec.or.th or rangrong@sec.or.th. The public hearing ends on 8 December 2017. __________________
services” added Rapee.Interested parties in applying for approval of wealth advisor are welcome to contact SEC for advice and recommendations via telephone on 0-2263-6050 and 0-2033-4620, or email
formal meeting invitation was prompted by the urgency of the matter. The meeting was therefore conducted virtually via telephone instead. Given the significance of the case concerning the duties of listed
/advertising information / services provided by the company, for instance: Solicitation to buy stocks/derivatives/mutual fund Portfolio information Email, address, telephone number, a certified copy of Thai
- Recommend nominations of the independent auditors and the auditors’ remuneration to the Board. Review with the independent auditors the objectives of audit, responsibility and auditing procedures of the