Operator to Perform Duties of Analyzing Investment and Giving Investment Advice dated 18 January 2012, which is deemed a prohibited characteristic of capital market business personnel under Clause 6(1) of
at 235/15, Sukhumvit 31, North Klongtan Sub-district, Wattana District, Bangkok ? and Mr. Robbirt solicited them to make investments based on the company?s advice and management in order to gain tax
give advice for those who are interested to operate business from now in order to make them understand standards in each aspect. This will be preparation for submitting applications for licenses once
, advice and recommendations on financial planning and disciplines. We hope to help educational personnel better manage their debts and increase their opportunities for investing in suitable products
instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types. Ex., investment units of mutual funds
instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types, e.g., investment units of mutual
business operators’ advice on user account security.” ________________________
market, and giving advice on relevant professional standards via a hotline channel. SEC Secretary-General Ruenvadee Suwanmongkol said: “For future plans, the SEC will continue to dedicate efforts to ensure
. Initially, it is found that most countries have the laws allowing an agency to oversee the audit firms and to convene a meeting to seek opinions and advice on the amendment of the Securities and Exchange
showed that a number of clients' securities trading orders were not completely recorded. For {C}, the first investigation revealed that she failed to completely record her advice and a client's securities