considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee
, claiming returns from cryptocurrencies, digital tokens or package investment plans in the form of Ponzi scheme. Solicitors may also promise or guarantee attractive returns, luring investors into quick
support cash conversion. In addition, it was found that there are solicitors who promise or guarantee high returns from such ICOs investment in the form of Ponzi scheme, luring investors into quick, ill
financial statement preparers, comprising chief financial officer, chief accountant and accounting staff where qualifications and responsibilities of the preparers will be determined. Besides, expectation of
(SIDREC) จากมาเลเซีย และ Ms. Gabrielle Hart, General Counsel, Securities Exchanges Guarantee Corporation Limited (SEGC) จากออสเตรเลีย ร่วมถ่ายทอดประสบการณ์การจัดตั้งและการดำเนินงานของหน่วยงานต่างประเทศ ณ
, designing mutual funds according to the investment policy, assets to be invested, payment period, investors’ expectation regarding unit selling, risk monitoring throughout the scheme term, obtaining diverse
businesses, B.E. 2561 on expectation to come into force on 16 July 2018.This notification will be enforced on those who will operate businesses as trading centers, brokerage firms and dealers for digital
be given based on clear and accurate information. With uncertainty, investment analysts? view must cover both best and worst case scenarios, to prevent investors? unreasonable expectation. For listed
guarantee of returns, and that unit redemption ahead of the target date set in the investment scheme is not allowed must be clearly communicated to investors.In addition, advertisement based on past
having medium to high risk level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete