and advice that is relevant to investors. It also contains new principles with respect to cross border listings and the importance of fair and effective price discovery in stock markets. IV) The role of
employees and to professionals advis- ing the company as well as independent advice in accordance with procedures established by the board or its committees. The legal and regulatory framework should impose
including appropriate advice and disclosure of conflict of interests. Those securities companies who already possess investment advisory licenses and wish to operate the business must comply with such
cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
-committees to perform specific assignments, and sub-committees to consider and give advice on the issuance of rules and regulations. The Board also has the power to appoint steering groups in support of the
://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7038 SEC Thailand’s Public Hearing on Regulatory and Supervision of Digital Asset Advisory Service and Digital Asset Fund Manager https://www.sec.or.th/EN/Pages
B.E. 2561 (2018), which became effective https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7038 SEC Thailand’s Public Hearing on Regulatory and Supervision of Digital Asset Advisory Service and
://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7038 SEC Thailand’s Public Hearing on Regulatory and Supervision of Digital Asset Advisory Service and Digital Asset Fund Manager https://www.sec.or.th/EN/Pages
B.E. 2561 (2018), which became effective https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7038 SEC Thailand’s Public Hearing on Regulatory and Supervision of Digital Asset Advisory Service and
), which became effective https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7038 SEC Thailand’s Public Hearing on Regulatory and Supervision of Digital Asset Advisory Service and Digital Asset Fund