Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full
systems that may cause damage to investment, fund management inconsistent with prospectus, and incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants
, supervise the capital market, for example, fund mobilization, products and services, related business operators, unfair securities trading activities in the capital market. The SEC revenue comprises fee
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
establishment, market development had concentrated more on the secondary market where trading of transferable securities was the main activity than the budding primary market where businesses issued securities
trading https://www.sec.or.th/TH/Documents/AboutUs/KeyPerformance-2563.pdf SEC Search /solr/secweb/select?q= electronic possession OR " electronic possession " OR "electrical ownership" OR "electrical
supervision of investment management business; legal structure; and offering and sales of funds as well as the related disclosures that are material to the investors' decisions in trading units of funds. o
reputations, divided into two areas as follows: Staff Code of Ethics consists of guidelines for handling conflicts of interest, for example, prohibiting staff from trading stocks or accepting assets or
Investment Trusts Member of the Sub-committee on Consideration of Regulations on Issuance https://www.sec.or.th/EN/Pages/AboutUs/CMSB_ayuth.aspx English (United States) CMSB_ekachai Chairman of the Sub