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

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

Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as

Asset: Lesson Learned and Moving Forward” ในโอกาสครบรอบ 30 ปี ก.ล.ต. โดยมีผู้เชี่ยวชาญ นักวิชาการ ผู้ประกอบธุรกิจ และผู้แทนหน่วยงานกำกับดูแลด้านสินทรัพย์ดิจิทัล ร่วมแลกเปลี่ยนมุมมองและถอดบทเรียนเกี่ยว

with objective to provide more flexibility for investor who is knowledgeable in the business raising fund through equity crowdfunding as well as associated risks. On the business side, the issuers will

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

JAS director, had learned from the Board of Directors' meeting invitation that on 25 January 2016 the JAS Board would consider the dividend payment for the year 2015. Based on this non-public

addressed by everyone. As a result, those who fail to seriously emphasize on adopting the said practices will face the difficulty in running businesses in the future.

affirmed that he had learned of {A}'s trading on his behalf. In this case, {A} has paid compensation to the client already.Making securities trading decisions on behalf of client is in violation of Clause 20