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
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
company/ person(s) under the SEC supervision; 4. Details of the complaint ( Please identify clearly ) , i.e., objective and details of the complaint, documents and other evidence, for instance, trading
- present Securities and Exchange Commission, in various position and roles including securities offering, mergers and acquisition, corporate governance, enforcement, legal, investor education, internal
- present Securities and Exchange Commission, in various position and roles including securities offering, mergers and acquisition, corporate governance, enforcement, legal, investor education, internal
retail investor education and financial literacy, and to advise the IOSCO Board on emerging retail investor protection matters. As the Thai capital market is dominated by retail investors, the SEC has
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
/ บุคคลที่อาจเข้าข่ายประกอบธุรกิจโดยไม่ได้รับใบอนุญาต ท่านสามารถตรวจสอบได้จาก Investor Alert บริษัทจดทะเบียน บริษัทจดทะเบียนเปิดเผยข้อมูลไม่ถูกต้อง / ไม่ครบถ้วนในงบการเงิน แบบ 56-1 หรือ รายงานประจำปี
, 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
Leadership Programme for Securities Regulators สิงคโปร์, APEC Financial Regulators Training Initiative หัวข้อ Enhancing Listing, Liquidity and Investor Participation in Emerging Market Stock Exchanges ณ ประเทศ