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

University INTRODUCTION • What is the effect of regulatory jurisdiction on the behavior of financial actors? Specifically, investment adviser misconduct? • Setting: Dodd-Fank re-jurisdicts “mid-size” RIAs in

and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment

knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC

SUPER were of opinion that the acquisition price and transaction were appropriate and beneficial to the company.  Nonetheless, independent financial adviser ("IFA") viewed that the acquisition price

Mr. Chatchai Chotanakarn During 23 - 27 June 2014, Mr. Chatchai Chotanakarn, at the time he was holding the position of Adviser of President of Bangkok Life Assurance Public Company Limited (BLA

เสวนาหัวข้อ “Policy Developments in Japan and Their Impact on Asia” จัดโดยหน่วยงานขององค์การสหประชาชาติ (the United Nations) ที่เกี่ยวข้อง 9 แห่ง โดยมี Mr. Gen Nakatani, Special Adviser to Prime Minister

of MTN Program…………………………………………………… Financial Adviser…………………………………………………………… Underwriter…………………………………………………………………… Representative of Debt Securities Holders………………………… Registrar and Paying Agent

: 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 SEC probed into the

adviser (e.g., financial adviser and legal adviser) and makes a decision based on the given advice, will the board be considered to have performed duties with care? If the decision has been made based on