to all listed companies advising listed companies that invest or plan to invest in digital assets to exercise discretion in making decisions regarding https://www.sec.or.th/EN/Pages/News_Detail.aspx
September 2021, the SEC sent a circular to all listed companies advising listed companies that invest or plan to invest in digital assets to exercise discretion in making decisions regarding https
fund (RMF) to a client; she recommended that the client buy RMF units from TMB only one time and redeem them all at once without advising the client to doublecheck whether or not the client had bought
shares from {D} and kept them in an account of {C}'s client. When PAO shares resumed trading on-exchange, {C} placed the orders to unload all PAO shares in the account. {H}, however, continued advising her
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules
securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules, regulations, ethics
selling of any securities ; (10) “ analysis of securities investment ” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the
) “analysis of securities investment” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the value of securities or the suitability
marketplace platforms, extends payment channels, implements a delivery tracking system, introduces branded exclusive products in specific channels, and improves IT product advising services. Dealer sales