. 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
Investment and Giving Investment Advice dated January 18, 2012 and Clauses 23(2) and 23(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557 re: Regulations for Personnel of
Investment and Giving Investment Advice dated January 18, 2012 (Notification No. TorLorThor. 3/2555). Accordingly, the SEC suspended {A} for three months from his duty as the approved capital investment
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
, liability of listed company will rise.??Investment analysts must adhere to professional standards and exercise due care when giving advice or opinion with impact on investment decision. Their opinion should
, they can seek advice on IPO and listing requirements from financial advisors, auditors, the SET and the SEC. Participants obtained the SEC?s approval for going public within 2014 will be awarded a plate
evidence, SEC has found that Artit gave investment advice and solicited the general public to invest in securities and derivatives. In so doing, he used the Japhoon Facebook account as an advertising channel
appointment contract of bondholder representatives, and the specified terms and conditions. They are expected to serve as a central point of communication, give advice and address inquiries from the bondholders
Operators Registered Persons Wealth Advice for All A Settlor of an Infrastructure Trust A Trustee of An Infrastructure Trust Digital Asset Business Operators Secondary Market and Related Entities