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cases of corporate fraud; Supervising business operators to take care of investors with fair and reliability; Educating and warning investors to ensure they have sufficient knowledge for decision making
"Happy PVD" SEC and Investors Be Wary of Investment Fraud Investment Governance Code for Institutional Investors (I Code) Investors' Rights SEC Help Center Resources for Investors SHARE : For More
; (4) within three years preceding the year of filing application toward the date of obtaining the license, not have operational records indicating cheat or dishonest, irresponsibility, reckless in
obtaining the license, not have operational records indicating cheat or dishonest, irresponsibility, reckless in respective of protection of clients’ benefit, lack of cautiousness or unfair or unreliable
; (4) within three years preceding the year of filing application toward the date of obtaining the license, not have operational records indicating cheat or dishonest, irresponsibility, reckless in
significant operations of the activities. Some of significant rights of the shareholders are: Rights before a decision to invest Rights as a shareholder SEC and Investors Be Wary of Investment Fraud
or trading documents Contract, trading order, confirmation note, etc. 3 Suspicion of fraud or embezzlement by listed company’s executive(s). ● Name of executive and related person/name of company
ถือหุ้นเมื่อการการเข้าถือหลักทรัพย์เพื่อครอบงำกิจการ (takeover) การดำเนินการเมื่อมีการกระทำผิดในบริษัทจดทะเบียน (corporate fraud) การดูแลผู้ประกอบธุรกิจ ให้มีการปฏิบัติต่อผู้ลงทุนอย่างเป็นธรรม น่าเชื่อ
services, which may cause damage to the investment Solicitation or fraud by unlicensed or unapproved entities, for instance, securities intermediaries, asset management companies, investment consultants and