Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently

Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment

To ensure that asset management companies primarily manage funds for the investors’ benefits,  SEC has revised the regulations in order to control and monitor mutual fund management by requiring

on investment advisor via crowdsourcing which are required to be granted SEC licenses. Investment advice must be made to general, not specific, investors and must be independent advice without

unlicensed business operators at the exhibition. Failure to cooperate could lead to being considered as a supporter to commission of offenses.  Concurrently, the SEC urges the public and investors to exercise

?Bangkok, August 4, 2014 ? The SEC will allow commercial banks to offer for sale to retail investors, Basel III tier 2 instruments with condition of conversion to equity and specified floor

of rules monitoring listed companies.  Meanwhile, investors are suggested to consider several factors in making investment decision in listed companies. The third study on purchase of shares by persons

receipts to high net worth investors, except institutional investors, must be done through intermediaries.Senior Assistant Secretary-General Prakid Punyashthiti said: ?The current rules allow high net worth

Bangkok, June 8, 2012 ? The SEC has received enquiries about details and conditions of subordinated debentures no.1/2012 to be issued by PTT Exploration and Production Plc. from investors obtaining

 Bangkok, June 27, 2012 ? The SEC allows offer for sale of ASEAN Collective Investment Scheme (ASEAN CIS) to accredited investors (AI). The regulations are expected to be effective within July, 2012