Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval
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
companies for convenience or as trading collateral. Such money should be safeguarded and give reasonable returns. This revision to the asset custody rules would enhance investor confidence without impacts on
personal data will be retained at the central database that is safeguarded with proper security measures and access control. Hard copies of documents and printed materials will be scanned and stored in the
data will be retained at the central database that is safeguarded with proper security measures and access control. Hard copies of documents and printed materials will be scanned and stored in the
data will be retained at the central database that is safeguarded with proper security measures and access control. Hard copies of documents and printed materials will be scanned and stored in the
data received: The personal data will be retained at the central database that is safeguarded with proper security measures and access control. Hard copies of documents and printed materials will be
database that is safeguarded with proper security measures and access control. Hard copies of documents and printed materials will be scanned and stored in the Enterprise Content Management System (ECM), the
issue of political independence of the securities supervisor through the creation of a formal governing body (a board, council, or commission) whose members are given fixed terms of appointment. If the
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