personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in
investment advisory on the condition that the person giving advice and the owner of the website or any other electronic media do not collaborate or share duties with the other party to avoid personal acts
investor. Please specify the name of the intermediary / financial advisor ……………………………………………………………………………………………………………………….. Director. Please specify the name of the listed company / issuer
Institutions Development Fund, the Crown Property Bureau, the Bureau of the Crown Personal Property, or the person having been exempted by the Office. 20For the purpose of considering the financial advisor for
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
analysis to provide appropriate services that are accessible and suitable for investors’ needs. SEC has also launched the Wealth Tech Project using robo advisor and/or AI for investment analysis and
, introduction of professional wealth advisor to provide a service of personal asset allocation and organizing series of financial literacy projects to reach the main targets, e.g. new generation workers in the
also colluded to act dishonestly in selling NUSA condominium units in Bangkok at a price lower than the appraised price and transferring funds out of NUSA into personal accounts and those of close