. Persuasion to invest with falsely high return in a short period may be regarded as deception to investors. SEC would like to warn investors to take caution and inspect details before making an investment
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
be responsible and perform duties with prudence and care in compliance with laws, rules and regulations. The SEC therefore put Weerawat on probation by accumulating three demerit points on his record
caution when using services of securities business operators, derivatives business operators or digital asset business operators who have not obtained a respective license, as well as foreign digital asset
with accountability by using knowledge, skill, experience and prudence as usually required from the person of same profession and to uphold professional code of ethics of a financial advisor; (2) to
Company in the past six months the cumulative transaction size is still lower than 15 percent also. The Company certifies that this information is true and correct and has been compiled with prudence and
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of market
control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial prudence An intermediary shall
related https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9809 SEC advises listed companies to exercise care and caution before investing in digital assets On 17 September 2021, the SEC sent a circular