is not allowed. ________________________ *Clause 23(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Capital Market Personnel dated 3 June 2014

allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for

mutual funds are allowed to invest, requiring asset management companies to notify investors prior to raising fees or expenses, waiving the limitation rule on unitholding over one third when certain

supervision scheme follows a similar regulatory framework to the one governing equity crowdfunding in several dimensions including: (1) issuers are allowed to offer either secured or unsecured debentures via

planning whereby securities brokers and derivatives agents would be allowed to offer services on asset allocation and investment planning in the forms of program trading and portfolio advisory with

qualifications and smart contracts by SEC-approved ICO portals; (3)   There might not be enough necessary information disclosed for investors.(4)   These is no business operators under SEC supervision allowed

royal decree on digital asset businesses took effect since 14 May 2018. Offering or persuading to invest in digital assets are allowed after receiving SEC approval. So far, there has not yet been any

admitted that the client allowed him to sell the securities in cases of making profit or potential loss. From his conversation with the client recorded, he traded securities for the client several times a

by Noppawan and Viroj who allowed their separate trading accounts to be used for the YCI transactions in exchange for compensation.The aforesaid offenses were in violation of Section 243 of the

made within two months as from a grant of loan. Previously, the SEC Board allowed the same period for establishment of type 1 property fund and increase in scheme capital for additional investment. ?The