during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment
business undertaking; (7)1 “investor contact” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment in securities for
subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
Bangkok, June 14, 2013 ? The SEC is planning to introduce an approval regime for technical analyst with a view to elevating standard and quality of technical analysis profession and giving
Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of
Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction
2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice
Thai people and Thai investors via Facebook Page “Binance Thai Community” to use a digital asset exchange platform providing on www.binance.com (“Binance”). Additionally, they assisted and facilitated