a starting point for mapping out a personal financial plan before taking the next steps toward informed and educated investment decisions,? said SEC Secretary-General Rapee Sucharitakul. The SEC Open

financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings

two previous years. Participants will be incubated with advice in technology and fintech startups from teams of successful and experienced experts, while being educated the related supervision. This

restriction in case where the asset management companies are unable to maintain adequate capital. As the asset management companies have been allowed to apply for undertaking of business as a trustee, the

prescribed. The proposal includes rectification period, restriction of business operations during rectification period and undertakings in case of failure to rectify. The proposed rules will provide more up-to

. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business

Bangkok, September 1, 2014 ? The SEC notified Vintage Engineering Plc. (VTE) to rectify its Q2/2014 financial statements due to auditor?s qualified opinion arising from scope restriction. VTE is then

-representation, Unauthorized, “Adviser” • Type of complaints: Equity/Option investments • Location: Older >60, Less educated, Further from regulatory office location • Who: Those with prior track-record of

the following orders: rectification of non-compliance operation, restriction of defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc

Act B.E. 2546 (2003) which contains certain provisions in relation to the restriction of rights and liberty of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41