ensure that appropriate investment advices could be provided to Thai investors in a timely manner upon their requests and assist them in making informed investment decisions. The essence of the proposed
ASEAN SBS. In such cases, investors will need to be informed accordingly and care should be taken to not imply the features of the ASEAN GBS or ASEAN SBS by a sustainability bond or SDG reference. 1 About
-informed decisions with the expectation for high returns and even topped up benefits from signing up other persons into the network scheme. These solicitations of digital asset investment may also lack clear
closely coordinating with the DBD, the SEC has considered legal issues under the Securities and Exchange Act (SEA) thoroughly to ensure prudence and fairness for all parties. The DBD recently informed the
under the SEC supervision which helps investors make informed decisions, (2) SEC Retirement Checkup, an application for facilitating investment plans and retirement savings calculation, and (3) SEC
customer’s decision-making and providing appropriate information; and 5) charge of service fees, which, regardless of how they are determined, must be informed to the customer prior to the service
the persons with such suspicious behaviors should not trust them and visit the SEC website (www.sec.or.th) under ?License Check? banner. In addition, please be informed that suspicious unlicensed
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units
addition, clients should be given more than one choice of fund, and intermediaries should follow up on clients? investments on a regular basis and keep clients informed of changes for clients? benefits