for a certain period of time and with high trading volume. Moreover, {A} admitted that he traded securities for a client without any order. Although this client notified him to stop trading, {A

draft guidelines of the Association that has been approved by SEC*. The guidelines contains details on :1) preparation of the service model responsible by a high-ranking executive officer; 2

region.?? ------------------Notes: 1. The ASEAN Capital Markets Forum (ACMF) is a high-level grouping of ASEAN securities regulators established under the auspices of the ASEAN Finance Ministers in 2004.2

to lure investing public; for instance, soliciting general public to invest in shares, gold or crude oil. They usually offer unreasonably high returns and principal guarantee as well as quote foreign

the Stock Exchange of Thailand. Documents and subscription forms were given to the attendance who, if interested, would have to make a minimum investment of 100,000 baht in order to earn high returns at

funds, venture capital firms, and ultra-high net worth investors. With respect to individual investors, SEC has received diverse comments involving restrictions on investment in ICO. Therefore, SEC will

limited only to major investors or high net worth investors.The guidelines proposed by SEC for supervision and encouragement of such business cover 4 key points as follows:1.     The process for wealth

membership. By providing high quality technical assistance, education and training, and research to its members and other regulators, IOSCO seeks to build sound global capital markets and a robust global

demonstrate high-standard qualifications including financial readiness, personnel and operating systems. The operations of successful applicants should comply with related international standards such as the

(IFA) opined that the shareholders should not approve the transaction for several reasons. First of all, it is an investment in high risk assets and the uncertainty of debt repayment could significantly