securities which is not reveal to public and the securities known by its business operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the
operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the investor or to client of securities company undertaking securities business. Investor
Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
require financial advice and planning service from advisors who are knowledgeable, provide quality services and are considerate of interest of the customers. Hence, the “Wealth Advice for All” project was
knowledge and information to the public in the northeastern part of Thailand. For example, the roles of the SEC in supervising the market and enhancing investor protection, giving of investment advice
the area of capital market. Furthermore, FAP will give advice, conduct on-site visit and improve their audit quality in accordance with Thai Standard on Quality Control (TSQC 1), Quality Control for
user-friendliness and search tools on their websites. (4) Accounting and Auditing: Thailand faired significantly well in this area thanks to the SEC?s strict supervision on audit quality assurance on
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
Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By