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
, executives and staff covers the following areas: Accountability Responsibility Equitable Treatment and Participation Disclosure and Transparency Internal Control and Internal Value Creation by Enhancing Market
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
securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of https://www.sec.or.th/EN
risks and creating a balanced financial system. Currently, the Thai capital market has an aggregate value greater than the country GDP, creating a large number of employments on the parts of business
://www.sec.or.th/EN/Pages/AboutUs/SEC_sethaput.aspx English (United States) SECDoc Solicitation or advice on securities or derivatives investment based on the value of the underlying asset such as gold price/crude
Responsibility Equitable Treatment and Participation Disclosure and Transparency Internal Control and Internal Value Creation by Enhancing Market https://www.sec.or.th/EN/Pages/AboutUs/WorkingPrinciples.aspx
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
, 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