giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the https://publish.sec.or.th/nrs/5776pe.doc Section 4 instruments or evidence
> Regulations > Digital Asset https://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/DIGITALASSETBUSINESS.aspx English (United States) Regulations Persons Wealth Advice for All A Settlor of an Infrastructure
) การพัฒนาบล็อกเชน สินทรัพย0ดิจิทัล หรือซอฟต0แวร0ที่เกี่ยวข#อง (1.2) การพัฒนาหรือตรวจสอบสัญญาอัจฉริยะ (smart contract) (1.3) การให#คำปรึกษาทางการเงินในการเสนอขายสินทรัพย0ดิจิทัล (financial advice/ICO
regulations of customer advice and services, customer data collection and assessment, disclosure of indicative prices, and specific requirements applicable to DA Exchanges regarding contractual practices
and investors are in a safe environment, free from online investment scams,” added Secretary-General. To report suspicious investment solicitations or seek advice, please contact the SEC via the
investment consultant for complex instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types. Ex
Pursuant to the MOU, SEC and TGO will cooperate in sharing knowledge, communicating and giving advice to listed companies, securities issuers or business operators under SEC supervision regarding the
services. This is to ensure that such capital market personnel can provide appropriate advice and useful information to investors. Meanwhile, the Prof. Link platform will further facilitate license renewal
Service: the end-to-end service to provide advice to companies and listed companies regarding fund-raising and regulatory compliance. Currently, they are required to contact two organizations when they want
. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017. ** Investment Consultant for Complex Products Type 1 is allowed to give investment advice on