ensure that appropriate investment advices could be provided to Thai investors in a timely manner upon their requests and assist them in making informed investment decisions. The essence of the proposed
. Besides, investors were prone to searching for yields while securities companies and commercial banks acting as an intermediary for offering of such debt securities provided insufficient information for
) the offer for sale is in accordance with a resolution passed at a shareholders meeting of the offeror, provided that the notice calling for the meeting shall provide sufficient information for
must be made to the operations system, the accounting system, the database, and the internal control system. Training on accounting knowledge must be provided from the origin, in order to accommodate
without intermediaries, including links for checking definitions under the law on digital asset business operation.The next topic is “Knowing Us.” Under this topic, a checklist is provided for investors
).Moreover, SEC is considering allowing asset management companies to organize meetings via electronic platforms, provided that there is a proper control system to ensure IT security for online meetings
provided that there is an investment limit for each member; (4) Promotion of investment diversification to be in line with international standards and market development. This includes determination of
abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments
financial advisory or planning services have been provided only to high-net-worth invertors. SEC then initiates the Wealth Advice for All project with the goal to encourage the business operators in the
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