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
Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
An unspecified person Destruction of the seals the competent officers made on the seized assets in connection with "Antella Investment". SEC Act S.304 Criminal Complaint Filed with an
Mr. James Gray Removal of the assets seized by the competent officers through execution of their duties in connection with "Antella Investment Inc.". SEC Act S.305 Criminal Complaint
governing securities and exchange. “Office of the SEC” means the Office of the Securities and Exchange Commission under the law governing securities and exchange. “competent officer” means a person appointed