virtue of Section 3 and Section 9 of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Giving advice
Section 9 of the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Giving advice” means giving advice or
,” giving advice on digital asset investment or quoting digital asset value, and in the case of “digital asset fund manager,” giving investment management service or making digital asset investment
and major shareholder of WHA, disseminate news about the negotiation of purchase deal with other listed company by giving interview to The Press which may cause any other person to understand that the
investors? awareness in helping monitor our capital market and facilitate legal actions against any persons taking advantages of others. Key criteria of the regulations include methods for giving information
, more user-friendly format for informing investors of key features, investment policies and associated risks, while giving investment consultants a more convenient tool for giving advice and selling units
operators in foreign jurisdictions/countries with their personnel giving investment advice. Under the governing rules and procedures, foreign business operators, having the prescribed characteristics and
subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam