warn the client and notify the supervisor of the suspicion. Moreover, the SEC urges securities firm's executives to monitor investment consultants under their supervision to perform duties in compliance
. Like COVID-19 vaccine, the economy also needs its own vaccines to make sure the economy would grow more sustainable in the long-run. The economic vaccines that I mentioned are the following. The first
interest. The SEC discusses with business operators on a continuing basis and mandates public and stakeholder consultation before issuing or amending regulations and guidelines. This is to make sure that all
supporting declaration of identity and additional documents in case of reasonable suspicion concerning investor’s qualifications. Securities company shall revise investor’s information under the first
suspicion that such amount of money belongs to the client; (2) Securities: (a) segregating by depositing with a securities depository center or the Bank of Thailand by clearly indicate that such securities
of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without suspicion that such amount of money belongs to the client; (2
of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without suspicion that such amount of money belongs to the client; (2
well as how the auditor response to identified risks, key matters detected throughout the auditing process, and suspicion related to unusual transactions that may be an indicator of fraudulent act; 6
, associated risks, criteria for returns payment and redemption, expenses and tax benefit conditions before making any investment decision to make sure that they would be entitled to receive benefits and would
other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure