Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
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SEC Secretary-General, Nataya Niyamanusorn said, “SEC has seen the wealth advisors having important role for the investors because they could make the investors realize financial planning as a
Bangkok, March 12, 2013 ? The SEC is seeking public comment on proposed regulatory revisions to increase the numbers of intermediaries for the sale of investment units and investment advisors in the
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Maintenance of Capital of Investment Advisors and Derivatives Advisors
Rules on Undertaking of Derivatives Business for Licensed Derivatives Advisors
Rules on Undertaking Derivatives Business for Licensed Derivatives Advisors