diversification through sophisticated strategies and innovative financial instruments. All facts, opinions and suggestions garnered from the survey will be taken into account in determining appropriate
appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently that violate section 113 of the Securities and Exchange Act B.E. 2535 (“SEA”). Therefore, Mr. Frearick
Broadgate, failed to order or act according to the duties of the director for the operation of Broadgate resulting in Broadgate failed to provide the work system including appropriate and sufficient personnel
and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment
knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC
) appropriate guideline for risk assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the
thereof before proceeding with such subcontracting. (5) appropriate guideline for risk assessment according to the degree of importance of the outsourced function; (6) information security system of a
by 20 January 2025. The auditor expressed a qualified opinion on NRF’s interim financial statements for the third quarter of 2024 because the auditor was unable to obtain sufficient, appropriate audit
investors with adequate and apparent information about forex risk which may significantly impact their investment returns, so that they can make appropriate investment decisions relevant to their investment