disclosures that involve risks and opportunities concerning climate change, enabling them to analyze securities, give investment advice, and make investment decisions efficiently. This is also a major step
and investors are in a safe environment, free from online investment scams,” added Secretary-General. To report suspicious investment solicitations or seek advice, please contact the SEC via the
investment consultant for complex instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types. Ex
services. This is to ensure that such capital market personnel can provide appropriate advice and useful information to investors. Meanwhile, the Prof. Link platform will further facilitate license renewal
knowledge and information to the public in the northeastern part of Thailand. For example, the roles of the SEC in supervising the market and enhancing investor protection, giving of investment advice
Service: the end-to-end service to provide advice to companies and listed companies regarding fund-raising and regulatory compliance. Currently, they are required to contact two organizations when they want
. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017. ** Investment Consultant for Complex Products Type 1 is allowed to give investment advice on
No. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017.** investment consultant for complex products Type 1 is allowed to give investment advice
) to provide experts? advice on possible solutions for correcting audit work deficiencies.Note to the Editor: The Independent Audit Inspection Activities Reports from 1 January 2013 to 31 December 2015
starting from 11 March 2017.The SEC urges investment consultants to give advice and offer investment products to investors with responsibility and deliberation by taking into account customers? profile, from