securities for the client's account. Besides, communication records between {A} and his client showed his promise to payback. Making trading decisions on securities in the client's account without the client's
and the share price changed quickly. Nevertheless, under the current criteria, posting the trading alert sign to warn investors to make investment decisions carefully is not required in this case. SEC
investment. The SEC thus encourages capital market business personnel, especially investment consultants, investment analysts and personnel who provide services of making decisions on investment for investors
decisions for clients, (2) Receiving compensations, either directly or indirectly, and (3) Operating such businesses regularly or giving services to the general public. Pursuant to Section 66 of the
all requirements on information disclosure and submission of reports under relevant regulations. On investor side, sufficient information for their investment decisions will be provided as the Filing of
accommodate fluctuations; and supported for development of professional standards. Investors Accessing to information and making investment decisions with confidence; being treated fairly in securities trading
Thailand to aid analysts in their decisions about how to integrate ESG information into their analysis and valuation. The publication draws from a number of CFA Institute resources and publications to
society SEC Classification : ใชภ้ายใน (Internal) Why is LGBTI inclusion good for business? • 87% of the businesses surveyed said that diverse and inclusive teams make better business decisions • Employees
and disseminated false statements, which caused an impact on the GL securities price and investors’ investment decisions. Such information also contradicted the information GL had disclosed through the
in investment decisions and active ownership.” Responsible Investment - Definition SEC Classification : ใชภ้ายใน (Internal) Overview of Investment Approaches 3 SEC Classification : ใชภ้ายใน (Internal