knowledge and understanding in capital market products and services before making investment decision. Those questions include ?What are the risks and rewards of the investment??; ?What kinds of investors are
and relevant to the client's investment decision. From the Stock Exchange of Thailand's securities trading inspection report on Electronics Industry Public Company Limited (EIC), the SEC further probed
take part in determining directions and significant operations of the activities. Some of significant rights of the shareholders are: Rights before a decision to invest Rights as a shareholder SEC
Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and
general, or the investors may not have received correct or sufficient information to support their investment decision making. Clause 13 If any one of the following characteristics is met, the SEC Office
management company must disclose or cause to be disclosed adequately such information necessary for making a decision to invest in investment units or to enter into a private fund management contract with the
or to become a counterparty to a private fund management contract, the management company must disclose or cause to be disclosed adequately such information necessary for making a decision to invest in
contract, the management company must disclose or cause to be disclosed adequately such information necessary for making a decision to invest in investment units or to enter into a private fund management
. The investors can request additional information and obtain the prospectus at: Address: [ ] Telephone: [ ] Website: [ ] Email: [ ] 2. If the investors have any complaints, they may contact: Address
is to build investors’ confidence in the use of financial reports to support decision-making. In addition to implementing the framework for promoting the capabilities of the preparers, the SEC