Digital Economy and Society for consideration in cases beyond the SEC’s enforcement authority. The SEC urges the public to exercise caution when using online social media. It is advisable to
information on the misconduct of the five investment consultants. Investors are strongly advised to exercise discretion in making investment decisions and should be aware that fund products come with different
investment consultant, assigned {B} to take care of the clients as well as make investment analysis and give investment advice. {A}'s action was deemed as breach of duty and failure to exercise due care, while
รับเอกสารที่เกี่ยวข้องกับการใช้สิทธิจองซื้อหลักทรัพย์ที่เสนอขายให้แก่ผู้ลงทุนตามสัดส่วนการถือหุ้น/หน่วย (right offering) การใช้สิทธิแปลงสภาพใบสำคัญแสดงสิทธิที่จะซื้อหุ้น (exercise warrant) ในรูปแบบของ
พนักงานที่เข้าข่ายกรณีดังกล่าว เช่น การให้สิทธิประโยชน์แก่กรรมการและพนักงานในลักษณะที่เรียกว่า Cash and Cashless Exercise เป็นต้น ข้อ
have completed the training courses on foreign currency risk from any agency recognized by the SEC Office, to provide services to the clients regarding investment in the capital market products
Business Personnel, who have completed the training courses on foreign currency risk from any agency recognized by the SEC Office, to provide services to the clients regarding investment in the capital
Capital Market Business Personnel and have completed the training courses on foreign currency risk at any agency recognized by the SEC Office, to provide services to the clients regarding investment in the
Personnel and have completed the training courses on foreign currency risk at any agency recognized by the SEC Office, to provide services to the clients regarding investment in the capital market products