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
FORM 56-REIT1 : Annual Registration Statement (Attach Notification Tor Jor. 20/2561)
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
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
).............................................. ............................ ............... ………………… (For further details, please attach herewith) 6. Address No........................... Building / Residence: ........................... Alley: ......................... Road
).............................................. ............................ ............... ………………… (For further details, please attach herewith) 6. Address No........................... Building / Residence: ........................... Alley: ......................... Road
ความคิดเห็น ดาวน์โหลด เอกสารทั้งหมด แสดงความคิดเห็น ดาวน์โหลด เอกสารทั้งหมด ปิดรับฟัง ความคิดเห็นแล้ว [{"Filename":"เอกสารแนบ","File_Path":"https://www.sec.or.th/Documents/PHS/Attach/1058
of Securities and Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2 . In this Notification: “Fund supervisor” means the mutual
Exchange Commission No. SorNor. 45/2541 Re: Qualifications of Mutual Fund Supervisors (No.3) dated 4 November 1998. Clause 2. In this Notification: “Fund supervisor” means the mutual fund supervisor; “Mutual