funds. "Such aforesaid research results have raised possible issues of unclear information disclosure, misleading advertising messages and fee collection. The SEC therefore reinforces such matters on
P.T. Research Co., Ltd. P.T. Research Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). - The
person whom a securities offeror is able to demonstrate to the Office that such person is able to access and study information necessary for making decisions to invest in the offered securities by himself
demonstrate to the Office that such person is able to access and study information necessary for making decisions to invest in the offered securities by himself and the offer made to such person is not required
Subcommittee whose major role is to study and propose guidelines for building market competitive edge and promoting all stakeholders’ capacities. The Subcommittee’s objectives include promoting the public’s
P.T. Research Co., Ltd. P.T. Research Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). This
; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions
study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions related to
from the approval date; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the