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
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
give advice for those who are interested to operate business from now in order to make them understand standards in each aspect. This will be preparation for submitting applications for licenses once
, advice and recommendations on financial planning and disciplines. We hope to help educational personnel better manage their debts and increase their opportunities for investing in suitable products
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
Investment and Giving Investment Advice dated January 18, 2012 and Clauses 23(2) and 23(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557 re: Regulations for Personnel of
recommendation disclosed via the Stock Exchange of Thailand (SET), the independent financial advisor has reaffirmed its advice against the contract transaction.The SEC therefore recommends that the shareholders
, structure, and provide useful advice for achieving business objectives. When achieving the objectives, PE will sell out the shares to any particular group of investors or via the Stock Exchange of Thailand
other individuals through clients? accounts and non-compliance with conducts of securities company in relation to record keeping of investment advice and trading orders in violation of Clause 14(2) and 14
advice on suitable products in compliance with standard of conducts;(3) Giving knowledge through activities and channels by preparing plan for financial literacy and investor potential for 2011-2013 which