solicitor/advisor such as company’s name, address, website, online media, full name and contact details   of solicitor/advisor, etc. ●   Services information / recommendation received/ solicitation

regard to any claim of high return of investment, and check whether the solicitor has obtained a license or approval properly. Public fundraising through securities offering needs prior approval while in

securities or derivatives, investors are advised to examine beforehand whether the solicitor is a legally approved or registered entity to prevent potential damage. The SEC list of licensed entities is

committed an offense under Section 89/25*, for example, taking the assets of the juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening

juristic person with dishonest intent, obtaining unlawful gains which damages the juristic person, or altering, shortening or falsifying documents.  In addition, SEC has prescribed a procedure for

products : 1. Salesman of a Broker Dealer and/or Investment House 2. Certified Investment Solicitor (salesman for shares or units of Investment Companies) 3. Key officer/s of Fund Managers (Investment

quarter last year. This is a consequence of altering the administration and management of projects to suit the work schedule. The changes are as follows: Cost of contract work amounts to Baht 210 million; a

provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such

, utilizing or altering such information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct

results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person