securities businesses, dissemination of standard reference prices, acting as bond information center for both the primary and secondary markets, as well as posting news and investor alerts promptly. Moreover
trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a
no permission from the SEC. There were lots of victim falling into such pitfalls these days. The SEC has issued investor alerts in this matter and further placed emphasis the need for the public to
. Investors are strongly advised to consult the SEC list of licensed and registered intermediaries under the License Check and Investor Alerts banners at www.sec.or.th. Whistleblowers may report clues or
an emphasis on key warnings, and (2) requiring a test of investors’ knowledge before first-time investment to assess investors’ investment suitability, which can be used as a tool for the seller to
found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings
warnings at the end of the funds’ names. While REITs and infrastructure funds with remaining agreement periods of less than 10 years must warn investors that the fund’s net asset value will gradually
, agencies, companies or related parties. When such fraudulent schemes are found, suggestions for deterrence actions to be taken include issuing investor warnings through the organization’s web site(s) and
information of every fund, summarized information of every fund and warnings must be included. The fund?s significant information must be concise and sufficient in a format suitable for advertisement and must
International Securities and Commodities Alerts Network (I-SCAN) ซึ่งมีไว้สำหรับรวบรวมข้อมูลพฤติกรรมที่เข้าข่ายหลอกลวงลงทุน บริษัทที่ไม่ได้รับใบอนุญาต รวมไปถึงการกระทำอื่นใดอันเป็นที่น่าสงสัยจากประเทศสมาชิกในการ