) preparation of the service agreement in respect of, for example, scope of conditions of service provision, customer’s rights, source of investment strategy; 3) availability of the appropriate personnel to

Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses

and deter money laundering.ICO issuers must be a company established under Thai law, with a clear business plan, audited financial statements, clear rights for digital token holders, source code

SEC Secretary-General Rapee Sucharitakul said “SEC aims to provide people in general access to the capital market as a source to accumulate long-term financial stability. However, until now

Saroj submitted securities trading orders before notifying a client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. Acting Sub-lieutenant Saroj

information for investment decision making such as condition of non- guaranteed by the Ministry of Finance, source of fund for debt repayment and business nature for risk assessment. Like private issuers

choice providing a constant fund source which prevents them from using up all money within a few years. Therefore, asset management companies should take this business opportunity to develop new products

products or services being offered must be prominent. If containing a referral statement from others, furthermore, the source of the information must be reliable and clearly specified. In case of appointing

derivative warrant but did not inform the client of maturity date. In addition, there was no source of trading orders of her clients where {A} described that the clients submitted trading orders via mobile

client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. {A} admitted that the client allowed him to sell the securities in cases of making profit or