of SEC-approved digital assets 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
quality control procedures and deficiencies found on engagement performance reflect a range of opportunities for the firm leaders to use their leadership skills to positively change the quality control
range 80-100%Score range 0-20% Score range 60-80%Score range 40-60%Score range 20-40% Fund 2Fund 1 Stock A ,B,C =70% Stock X ,Y,Z =30% Active share Similarity However, at the firm level, controlling for
served.Investors are strongly advised to be careful and not to allow investment consultants to make trading decisions for them. Compliance unit should be immediately informed if a trading account is used without the
strongly advised to be careful with such manner of solicitation above and verify the existence of the solicited shares or examine if the offering in question has been properly filed with the SEC before
Facebook accounts are not licensed securities or derivatives business operators in Thailand. Investors are therefore advised to be careful with any investment solicitation of such entities because the
have been neither filed for approval nor existed on the list of SEC-approved digital assets. Therefore, investors are advised to be careful when receiving information or solicitation to invest in such
companies should be careful in disseminating news or information related to the companies’ operations because disseminating news or information that is inconsistent with facts or may cause material
investment, please be careful and check for more information from the SEC website (www.sec.or.th) under ?License Check? and ?Investor Alert? banners. In case of suspicious unlicensed activities, please call
wider range of products and enhance international competitiveness of Thai intermediaries.In drafting the proposed rules, the SEC has taken into consideration the stakeholders? comments and suggestions