) “investor contact” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities companies undertaking securities business
market, and giving advice on relevant professional standards via a hotline channel. SEC Secretary-General Ruenvadee Suwanmongkol said: “For future plans, the SEC will continue to dedicate efforts to ensure
auditor’s reports on PVDs CMSB has approved an exemption for preparing and submitting financial statements and the auditor’s reports on PVDs by giving private fund management companies two options, namely
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
liable to offering for sale and giving trading service of digital tokens without license; however, the company’s public solicitation for investment in digital tokens still continues to be found.The
price of the shares must be at a fair value valuated by a financial advisor, who is approved by SEC and independent from the offeror; (c) there must be an independent securities company giving advice
benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a
services through business operators in the host country, prohibition of giving advice to particular customers and soliciting for sales of the capital market products. Each ACMF member may issue additional
. Boards of companies should pay attention to giving information and answering questions of shareholders especially in annual general meetings.?
Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of