Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed
website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid
business operation vaguely. As a result, Finnomena shall not provide business continuously. Moreover, Finnomena did not notify outsourcing function to the SEC Office. SEC Act S.113 Settlement Committee
information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113
opportunities to provide input and comments on the practicality and relevance of draft regulations before they take effect. In the event that new regulations are anticipated to have a wide or significant impact
system of quality management (SOQM)? If yes, Does the firm leadership provide the designated partner with the required authority and resources and take responsibility for the adequacy of firm’s response
Bangkok, July 10, 2015 ? The SEC and the Stock Exchange of Thailand (SET) agreed to provide the information concerning abnormal securities trading in one place. Accordingly, the SEC?s last Turnover
information service was popular among its users.However, SEC has continuously improved and developed the data to provide services to the public by providing a variety of information such as fund raising
service platforms that correspond with consumer behaviors today, including new services to sell mutual fund units. Currently, there are businesses that wish to provide financial services in this area
principle proposes revision to the types of permissible investment products and the qualifications of commercial banks eligible to provide investment and deposit services in relation to asset custody of