proposal Agree Disagree Do you agree with imposing an aggregate limit on total investments in ICOs by each retail investor in any 12-month period? Do you agree with setting the above aggregate limit at 3
Prioritise Advancing the Best Interest of Clients 40 Principle 3 Make Informed Investment Decisions and Engage in Active Ongoing Monitoring of Investee Companies 42 Principle 4 Apply Enhanced Monitoring of and
conflicts of interest and prioritise advancing the best interest of clients. Principle 3: Make informed investment decisions and engage in active ongoing monitoring of investee companies. Principle 4: Apply
our role and fiduciary responsibilities: Principle 1: Adopt a clear written Investment Governance Policy. Principle 2: Properly prevent and manage conflicts of interest and prioritise advancing the best
fiduciary responsibilities: 1. Adopt a clear written Investment Governance Policy 2. Properly prevent and manage conflicts of interest and prioritize advancing the best interest of clients. 3. Make informed
follows: 1 . We wish to express an intention to submit information electronically to the SEC Office and agree to abide by the following conditions: 1.1 We fully understand and acknowledge the SEC Office’s
greatly appreciate your participation in this public consultation. *** mailto:aunchisa@sec.or.th 11 Comments 1. Do you agree with the definition of “investment participation” to ensure no regulatory gap
: .................................................................................................................................................................................... With the binding agreement as follows: 3 Clause 1 We wish to express an intention to submit information electronically to the SEC Office and/or the back office service provider and agree to abide by the
provider and agree to abide by the following conditions: 1 . 1 We fully understand and acknowledge the SEC Office’s Standard Procedures for Electronic Transmission of Information B.E. 2564 (2021) (Standard