but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public
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
-minded travelers with authentic local experiences in vibrant destinations worldwide. Each hotel will include thoughtfully-designed, compact rooms with high quality facilities and a vibrant communal space
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
SEC Assistant Secretary-General Kumpol Sontanarat said that SEC has recently provided additional service for the capital market. The open data database contain 10-year historical records of fund
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