provide the five-step wealth advisory service under the scope of their licensed business. Other interested business operators may submit an application for approval to SEC and SEC will consider their

is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=864. Stakeholders and interested parties are welcome to submit comments and suggestions on the website or via email: piravade

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=861. Stakeholders and interested parties are welcome to submit comments and suggestions through the website or email: corporat@sec.or.th. The public

when the offenders sign letters of consent, agreeing to comply with the civil sanctions imposed by the CSC. Otherwise, the SEC will submit the case to the public prosecutor for filing a lawsuit in the

. The consultation paper is available in Thai version only at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=934. Stakeholders and interested parties are welcome to submit comments and suggestions on

?SECID=939 and the legal hub system at https://law.go.th/. Stakeholders and interested parties are welcome to submit comments and suggestions via the websites or emails: pinyapat@sec.or.th or

added.  The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments on (1) regulatory sandbox at wasu@sec.or.th or facsimile at 0-2033

being its employee. The SEC's probe into the case also revealed that {B} managed trading account for the client and used the password given by the client to submit trading orders via internet. He

with them. Some even gave authorization for the companies? staff to submit trading orders on their behalf.The said actions were deemed as undertaking derivatives business without license in contravention

consultants to make trading decision on their behalf and always submit trading orders via recordable channels.  *Clauses 20(2) and (3) of the Notification No. TorLorThor. 3/2555 which were prohibited