, liability of listed company will rise.??Investment analysts must adhere to professional standards and exercise due care when giving advice or opinion with impact on investment decision. Their opinion should
agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
innovative knowledge, creative thinking, and innovative change. A total of 48 staff members from 16 departments (13 teams) participated in the event this year with qualified experts as the judges giving the
for liquidity support while financial institutions giving assistance to such mutual funds are allowed to use high-quality domestic instruments as collateral for the same purpose.Concurrently, SEC has
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
SEC Secretary-General Ruenvadee Suwanmongkol said: “Giving sufficient useful information on debt securities to investors and the general public is one of our continuing priorities. On 27 December
offering digital asset advisory service and/or acting as digital asset fund manager to provide alternative investment choices for investors, but also support careful monitoring of persons giving advisory
provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for
(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment