investors? awareness in helping monitor our capital market and facilitate legal actions against any persons taking advantages of others. Key criteria of the regulations include methods for giving information
operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and
subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
and Exchange Commission Kor Thor. 13/2563 Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
Ministry of Finance and joined the opening ceremony of the 150th Anniversary of Ministry of Finance Building, with Mr. Lavaron Sangsnit, Permanent Secretary, Ministry of Finance, giving a warm welcome on
securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and