justice. SEC strongly advises persons who are interested in securities investment to be cautious and shall deal in investments only with properly licensed intermediaries. Investors can check whether the
needed for its business model. This approach could support future entry of all types of securities businesses and increase the number of intermediaries who could render more convenient services to
’ decision making; (4) None of the intermediaries or selling agents under the SEC supervision have been licensed to undertake digital asset businesses; (5) These ICOs may lack trading liquidity and may not
material ESG factors into equity analysis of listed companies and incorporate them into their research reports. The intermediaries have an important role in sustainability-related information chain as they
, regular review of documents and evidence on one?s own investment portfolios sent from the responsible intermediaries is another way to protect one?s own assets.? ______________________ *Clause 20(1) of
, working age and about to retire. The Cabinet appointed Permanent Secretary of the Ministry of Finance to discuss with relevant parties for implementation;(2) Encouraging intermediaries such as securities
intermediaries and professionals in capital market such as financial advisors, auditors and securities companies in term of expansion of their businesses throughout the country.?From the introduction of the first
opportunities and mutual benefits of capital markets from the growth of emerging Asia and to be more focus on intermediaries? roles for better investor protection. Vorapol Socatiyanurak, SEC Secretary-General
researchers studied investors? attitudes and behaviors used by capital market intermediaries and business operators in the course of their businesses. The papers showed that investors do not always make
by strengthening supervisory measures for intermediaries before damage occurs.” The consultation paper is available on the SEC website (www.sec.or.th) and on the Legal Hub (law.go.th). Stakeholders