SEC Office under this Notification shall be allowed to perform an audit work and affix signature in giving opinions on the auditing of the following businesses: (1) a company applying for an offer for
customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept until the handling of
, should there be any customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept
) -2- “mutual fund rating”2 means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
/2249pe_r.pdf 8500pe_r.pdf investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly
giving of information advice to investors. The SEC notified the survey?s result to the Thai Bankers? Association and urged asset management company that appointed commercial bank as its selling agent to
Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012
giving more clarifications to the special case inquiry official, for example, if further investigation is required. Our collaboration aims to provide the inquiry official with information and assistance