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
funding. It is also consistent with SEC’s strategic plan that aims to support companies’ efforts to embed ESG issues into their business operation and disclose information of such action in One Report.SEC
information on TSA, please visit: https://www.tfac.or.th/Article/Detail/119155 .) The consultation paper regarding this matter is available at https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=698
the matter carefully and exercise the voting right to protect own interest. They should also request NBC’s executives to clarify and answer questions in order to gather comprehensive information
six months. After the client fell for the solicitaion and transferred in the money, Pisist recorded false information in the company's documents by identifying the transferred money as his older
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
Management Companies and asset management companies . The survey results therefore provided information revising relevant regulations to align with international standards, to suit the nature of business and
related information thoroughly and inquire GJS executives for further details and clarification in order to make a well-informed decision and exercise the voting right to protect their own interest
. Investment Planner is approved to give investment advice to investors as well as to make an investment plan in conjunction with investment advice by using client information in an in-depth manner to support