between the SECC and SEC Thailand to work on the process of implementing the cross-border equity offering and the issuance of DR and will also cover the issuing guidelines to provide guidance for issuers
a handbook to provide guidance on the various administrative and procedural matters including the criteria for issuers, the application procedures and the review timeline. Dr. Vorapol Socatiyanurak
shall have the duties as instructed by the AMLO, including: (1) set out a risk assessment policy or any guidance for the prevention of the financing of terrorism; (2) freeze the assets of the designated
, Adaptation, Resilience and sustainable Finance (mARs) Guide), 4. แผนพัฒนาตลาดคาร์บอนภาคสมัครใจของและแผนงานแนวทาง (ACMF Voluntary Carbon Market (VCM) Development Plan & Guidance Roadmap), และ 5. คู่มือการเปิด
, for example, the launch of Wealth Advice for All initiative which gives the public a more convenient access to one-stop services on investment advice and the co-launch of the Happy PVD Company project
investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being
Perform Duty of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} and {B} from performing duties of investment consultant for six months. Taking into
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
consultant.Thereafter, {D} told {F} and {G} to find a client to purchase the acquired PAO shares where {H}, another investment consultant, was brought into the picture. {H} then solicited and gave unprofessional advice
Analyst (Series 86/87) สำหรับการขอความเห็นชอบเป็นนักวิเคราะห์การลงทุนด้านหลักทรัพย์ (3)หลักสูตร Investment Advice Diploma ของ Chartered Institute for Securities and Investment เฉพาะรายวิชาที่