speakers and experts from the financial services industry to share their experiences at the webinar, which attracted more than 500 participants, including fund managers, investment analysts, and other
further opinions from another financial advisor to supplement the clarification of the reasonable assumptions and the review on the fair value of the investment. PACE thus requested a deadline extension to
in its Q2 and Q3/2017 financial statements were incomplete and ambiguous, which is likely to affect the rights and interests of shareholders or the decision making on investment. For example, an
: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures
financial position and investment knowledge. In addition, the company failed to take sufficient measures to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for
(1) to disclose information related to investments in the Notes to the Financial Statements up until the period with the investment proportion lower than 40 percent of the total assets; (3
before making decisions to invest in initial public offerings (IPO). SEC Deputy Secretary-General Prakid Punyashthiti said: ?Investors should study the information of any financial instument of their
Bangkok, August 17, 2015 ? The SEC urges shareholders of Gunkul Engineering Public Company Limited (GUNKUL) to study the information and exercise their voting rights on the investment in a solar
Bangkok, June 15, 2016 ? The SEC is seeking public comments on the proposed amendments to the rules governing investment of private funds and mutual funds offered for sale to accredited investors.The
on investment advisor via crowdsourcing which are required to be granted SEC licenses. Investment advice must be made to general, not specific, investors and must be independent advice without