Before providing investment service in the capital market, intermediaries, such as securities companies and asset management companies, must know their investors or clients’ detailed information

Bangkok, 1 November 2017 ? The SEC is seeking public comments on the draft rules governing initial public offerings (IPOs) to cornerstone investors to create greater opportunity for success of IPOs

to disclose this information to warn investors before they make investment decisions. For example, leasehold property funds (Type1), which are prohibited from investing in new assets, must give clear

In recent times, investors are seeking high profits by investing in assets, which are deemed to yield more returns than deposits. However, such high returns also come with greater risks

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