trusts (REIT). It is expected to be effective in January 2019.Even though Thailand has already had in effect the rules permitting foreign investment advisors to provide advisory services to Thai
private funds, or investment advisors, which are fully qualified and ready to provide services, may apply for SEC’s approval to become the wealth advisor. There are currently over 40 operators interested
require financial advice and planning service from advisors who are knowledgeable, provide quality services and are considerate of interest of the customers. Hence, the “Wealth Advice for All” project was
MD&A seminar on January 30, 2013 at the Ambassador Hotel, Bangkok, with more than 600 participants from listed companies and financial advisors. At the seminar, the SEC executives and a guest speaker
, auditors, financial advisors, and fund managers whose approval expire or will expire from October 26, 2011 to March 31, 2012 are allowed to perform their duty until March 31, 2012. In this regard, the
is working on enhancing the ASEAN Collective Investment Schemes (CIS) framework by further harmonising disclosure standards through common product highlight sheets and prospectuses, and reducing
Bangkok, June 2, 2015 ? The SEC jointly with the School of Development Economics of NIDA hosted the 4th SEC Working Papers Forum, 2015 on ?Global financial market risks and financial plan for
prevention and handling of conflicts of interest; (2) adequate measures to prevent directors, executives, sub-committee members, advisors, staff members, employees, or persons who work for securities clearing
We Regulate SEC Working https://www.sec.or.th/EN/Pages/AboutUs/TheFoundationoftheSEC.aspx