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
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
Bangkok, September 25, 2015 ? The SEC aims to promote the use of technology to provide more access to the capital market for fund mobilizers and investors through crowdfunding and automated
business with custody of clients’ assets; (3) 25 million baht for undertaking securities business in the category of mutual fund management or private fund management to provide
-bank and if setting up as a company, more than 50 percent of all shares with voting rights must be held by the Ministry of Finance; (2) approved by the Bank of Thailand to provide financial services
during the same period to provide investors with proper information for investment decision making. RICHY P/E ratio disclosed in the registration statement was calculated from net profits in the last four