reviewed or audited by an auditor who is employed by an audit firm that has been inspected by the SEC** as well as the annual report; 3. Directors and senior executives of each work unit
) Notification of the Capital Market Supervisory Board No. Tor Thor 39/2555 Re: Providing Compliance Unit of Intermediary dated 14 August 2012; (3) Notification of the Office of the Securities and Exchange
transactions or investment consultants’ employee right to receive shares, investors should check with the compliance unit of the securities company directly to ensure clear details and verification
ชักชวนลูกค้าให้ลงทุนในกรมธรรม์ประกันชีวิตควบการลงทุน (unit linked) แบบชำระเบี้ยครั้งเดียว และได้เสนอให้ลูกค้าจ่ายเบี้ยประกันชีวิตเพิ่มเติมอีก 2 แสนบาท เพื่อซื้อหน่วยลงทุนของกองทุนรวมที่ขายควบคู่กับกรมธรรม์
financial instrument. Pursuant to the Royal Decree, digital assets include cryptocurrencies, digital tokens and any other electronic data unit, as specified by the SEC. The offering of newly issued digital
cryptocurrencies, digital tokens and any other electronic data unit, as specified by the SEC. The offering of newly issued digital tokens to the public must be conducted only by limited companies or public limited
, regular review of documents received from the intermediaries could help to spot any possible irregularities early. In case of any suspicious incident, investors should contact the compliance unit so that
} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was
redeemed the investment units of Bualuang Long-Term Equity Fund (B-LTF) as suggested by the bank's officers The redemption was in breach of a condition on investment unit holding period of at least 5
funds are designed in direct response to investors? behaviors such as unit link insurance and trigger fund, which is preset to dissolve upon reaching the target return within a pre-scheduled timeframe