acceptance of financial assistance from a related company, despite the transaction had a major impact on the applicant?s business operation.Weerawat?s actions as financial advisor supervisor while working with
Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial
advisor supervisors failed to exercise due care in reviewing the information thoroughly which may mislead investors into believing the company continued to expand the business capable of generating
on principles to laying out the framework of related rules to allow a business operator to apply for SEC’s approval and represent itself as wealth advisor to interested persons.Rules regarding
Facebook page "Hua Seng Heng HSH - Investment Advisor" : Unlicensed securities and derivatives business (Disclosure Date : 06/11/2025)
W’s Board of Directors has resolved to approve Domino Asia Pacific Company Limited, subsidiary of the company, to enter into transactions for the acquisition of DOMINO’S PIZZA business in Thailand
Bangkok, March 18, 2015 ? The SEC revoked the approval of a financial advisor supervisor, namely {A} of KPMG Phoomchai Business Advisory Ltd., for willfully imparting false statement and concealing
Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to