management and limited brokerage, dealing and underwriting of investment units (LBDU) In revising the annual fee scheme, the SEC has taken into consideration intermediaries? existing cost factor and potential
Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and
KWI Life Insurance Public Company Limited KWI Life Insurance Public Company Limited (“KWI”) a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions
KWI Life Insurance Public Company Limited KWI Life Insurance Public Company Limited (“KWI”) a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and
EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH
Mr. Fredrick Ian Mcintyre Mr. Fredrick Ian Mcintyre, the former director of Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited (Broadgate) responsible for the operation of
Mr. Ravi Pattiyawongse Between 2000 and 2001, Mr. Ravi Pattiyawongse with other alleged persons operated securities brokerage businesses, soliciting foreign clients to invest in securities, in
Professional Portfolio International Ltd. Professional Portfolio International Ltd. (PPI) colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory