allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for
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
of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:06 Funds/Trust Intermediaries Finance & Products Digital Asset Investors Office operation Important statistics
://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-digital.docx complaint-form-general-en.docx / derivatives / digital asset intermediaries e.g. securities company/broker, asset management company and
(United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
https://www.sec.or.th/TH/Documents/ActandRoyalEnactment/Act/translate-digital.docx complaint-form-general-en.docx / derivatives / digital asset intermediaries e.g. securities company/broker, asset
English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
States) InformationofIntermediaries Data > Intermediaries Market Data SHARE : Detail Content Intermediaries List of Securities Businesses / Derivatives Businesses Asset Management