to her advice. {C} also failed to record her giving of investment advice and accepting of securities trading orders from many of her clients. {C} admitted that the unrecorded orders were taken via
Wannapat’s approval as an investment consultant for Complex Products Type 2 had already expired on 31 December 2025, the SEC therefore imposed a ban on accepting any future applications for approval as capital
services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
providing trading service for units of foreign collective investment scheme, securities company shall comply with the following requirements: (1) accepting trading order during business hours and on business
investment advice and providing service relating to trading investment units, mutatis mutandis, unless there is any provision in this Notification especially. Clause 7 Prior to accepting to be an agent for
pays the application fee and submits the payment evidence to the SEC Office. The SEC Office thus issues a letter accepting Form 61-1F into the process of granting approval. 1 day Accounting Supervision
Sale of Units of Foreign Collective Investment Scheme. Clause 7 Prior to accepting to be a selling agent of units of foreign collective investment scheme, a securities company shall arrange to have a
offering to facilitate merchants and businesses in accepting digital assets as payment for goods and services such as by setting up digital asset settlement systems. This may result in a wider adoption of