or under SEC’s supervision. SEC therefore advises investors to be careful if solicited to invest in such products. Investors must be seriously aware of the risks involved and, if interested to make an
provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such
, utilizing or altering such information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
act which results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or
derivatives broker shall submit clients in accordance with the rules specified in the notification of the SEC Office. Clause 5. Derivatives broker shall not engage in any act which results in creating, altering
and earning of the applicant significantly.In performing the duties of independent financial advisor, {X1} Securities and {A} failed to conduct a careful, professional due diligence on an acquisition of
be careful and examine their trading transactions as well as the money in their accounts regularly, and not to allow investment consultants to make investment decisions or use investors? trading
her from applying for a new approval as capital market business personnel for a period of 10 years, effective from 14 March 2019.Investors are advised to be careful and cast doubt on any solicitation
should be more careful (because, on average, they earn less but live longer. • MOST Thais can be MILLIONAIREs if they start to save NOW. 15