}, who also held a branch manager position, it was found that she had advised a client to invest in a fund without giving complete and sufficient information as well as warnings related to the fund that
, 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
the product and receive sufficient information before making investment decision. Intermediaries must comply with know your customer/client due diligent rule and request investors to take suitability
carefully study the information, exercise their rights to protect their own benefits, and seek clarification or explanation from the company directors and executives so as to have sufficient information for
businesses and investors, preparing a set of common offering rules classified by risk and complexity levels of products to boost flexibility in offering new products and services, and introducing a new
, revision of the assessment of risks of material misstatement, and forming an opinion in the auditor’s report, due to a failure to obtain sufficient appropriate audit evidence relating to trade and other
The opinions of the Independent Financial Advisor on the connected transaction (For the purpose of translation only) 0 The opinions of the Independent Financial Advisor on the connected transaction by Thai Wacoal Public Company Limited Presented to Shareholders of Thai Wacoal Public Company Limited Prepared by 8 March 2019 This English report of the Independent Financial Advisor’s Opinions has been prepared solely for the convenience of foreign shareholders of Thai Wacoal Public Company Limited...
appropriate knowledge and expertise, and that the information it uses in determining A-6 credit ratings is of sufficient quality and obtained from reliable sources to support a high quality credit rating. 1.4 A
offer for sale of bonds may cause [i] any damages or [ii] an unfairness treatment to the investors as a whole or [iii] the investors not to obtain correct and sufficient information for supporting the
) Explaining the guideline for administrating, managing or solving the case that the proceeds from capital increase are not sufficient or there is a situation which causes the change of absorption costing