located on Phraekkasa Mai Sub-District, Muang Samut Prakarn District, Samut Prakarn Province without any constructions. The Company is the ownership of the Title Deed No. 6813, Parcel No. 291, Sub-District
trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment
person giving investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product, without planning or analyzing of
Mr. James Gray Mr. James Gray, the management responsible for Antella Investment Inc., operated securities brokerage businesses without proper licenses granted. SEC Act S.301 Criminal Complaint
consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product, without planning or analyzing of investment. “investment planner
information by requiring lead underwriters in the initial public offerings (IPOs) to issue 4 consecutive quarterly research papers for IPO shares. The requirement will help solve the problem of lacking research
, without planning or analyzing of investment. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such
without subject to regulations of this Notification. Clause 6 In this Notification: (1) “audit firm” means an audit firm where an auditor is attached and conduct audit work for; (2) “financial institution
Navista Global Markets Ltd. Navista Global Markets Ltd. (Navista) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The
GISP Ltd. GISP Ltd. (GISP) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The company contacted and solicited the public