advised to regularly examine the mutual fund unitholding reports as well as related bank accounts. Moreover, investors should not leave important investment documents with ICs. In case of any doubts or
offering. SEC advises the public to examine the information in this matter carefully and thoroughly before making any investment decision. For further inquiries, please contact SEC Help Center at 24-hour
examine the information in this matter carefully and thoroughly before making any investment decision. For further inquiries, please contact SEC Help Center at 24-hour Hotline 1207. Summary of regulations
Bangkok, 24 November 2017 ? The SEC urges investors to read important information on the prospective listed companies to examine duty performance of company directors and executives before making
external independent appraiser. The validation process involved interviews with the listed companies’ boards to examine the consistency between their information disclosure and actual practice. This was to
be careful and examine their trading transactions as well as the money in their accounts regularly, and not to allow investment consultants to make investment decisions or use investors? trading
major shareholders owing a large amount of unpaid debts, causing a significant impact on the applicant's financial statements; (3) failure to examine the disclosure of material information in the IPO
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
ควำมเสี่ยงที่ตนเองยอมรับได้ (2.4) ผู้แสดงควำมคิดเห็นไม่เห็นด้วยกรณีที่ลูกค้ำปฏิเสธกำรให้ข้อมูล ท ำให้ไม่สำมำรถท ำ suitability test ได้ ให้ผู้ประกอบธุรกิจปฏิเสธกำรให้บริกำรนั้น และหำกผล suitability test