2016.In any case, investors should not disclose their usernames and passwords for investment consultants to execute trading orders on their behalf. Similarly, investment consultants must not seek
behavioral finance in issuing the regulations. For instance, the regulations governing investment consultants and investment planners making direct contact to the customers have been strengthened by requiring
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Printable Format - กฎหมาย ประกาศ หนังสือเวียน วิธีปฏิบัติ Derivatives Advisors >> การขอรับใบอนุญาต/จดทะเบียน ประเภท เรื่อง มาตรา ดูเอกสาร วันที่ลงนาม วันที่มีผลใช้บังคับ 1. ประกาศคณะกรรมการ ก.ล.ต
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these exchanges to have their debt securities displayed on LGX platform, in which case translation of prospectus and opinions of legal advisors is required. This may start from listing on SoL whose