markets to study approaches and tools which regulators, as innovation facilitators, can adopt. These include innovation hubs, regulatory sandboxes and accelerators. The focus will be given on how to
addition, clients should be given more than one choice of fund, and intermediaries should follow up on clients? investments on a regular basis and keep clients informed of changes for clients? benefits
the Stock Exchange of Thailand. Documents and subscription forms were given to the attendance who, if interested, would have to make a minimum investment of 100,000 baht in order to earn high returns at
unable to analyze and compare such information efficiently. Meanwhile securities brokers are concentrating more on portfolio advisory and offering more technology-driven services. Given this changing
in such shares. As a result, the client was misled by the information and advice given by {A}, purchased such shares at the amount of 5 million baht, and suffered damage from the purchase.By giving
Following the tips given by Thai and foreign investors in Thailand and the SEC’s further investigation, it has been found that the Facebook page Invest Global and the website
damage to investors. During these transactions, SET, after having found such trading orders, had given warnings to four securities companies that provided trading service to Surin, but SET still found
90 days (within 14 August 2018) to continue their business until an order to discontinue their businesses is given. Earlier, SEC disclosed the names of seven digital asset business operators asking
company may have to take on more burden of appointing new auditors from other audit firms. Given such a scenario, audit firms should recruit sufficient auditors in the capital market to perform high quality
in this case, the SEC has been given information support from the SET and full cooperation of the CIB through the ECD in the compilation of facts and evidence, a proactive and collaborative approach