อนุญาตประเภทการเป็นที่ปรึกษาการลงทุนหรือที่ปรึกษาสัญญาซื้อขายล่วงหน้า (Investment Advisory Services : IA) จาก ก.ล.ต. ทั้งนี้ คณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ในการประชุมครั้งที่ 9/2566 เมื่อวันที่
Central Bank, UK, member of the advisory board of the China Banking Regulatory Commission. He was the First Chairman of the UK Financial Services Authority during 1997-2003. Dr. Vorapol Socatiyanurak, the
included investment advisory services and private fund management. In addition to keeping up with the fast pace of financial innovation, the draft amendment would reduce burdens on the qualified business
, and promoting exercise of investors? rights. The SEC also aims to promote independent investment advisory business and develop a more efficient mechanism for dispute resolution and effective enforcement
? roles to support their subsidiaries? overseas business expansion and the services of personal asset allocation as well as wealth advisory. SEC Secretary-General Vorapol Socatiyanurak said after the
จัดสรรการลงทุนดังกล่าว (portfolio advisory with execution) รวมทั้งมีการติดตามและปรับปรุงการลงทุน (monitoring & rebalancing) ให้สอดคล้องกับแผนจัดสรรการลงทุนของลูกค้า
: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
of the Securities and Exchange Commission: (1) The securities companies licensed to undertake all securities businesses in the category of securities brokerage, securities dealing, investment advisory
Exchange Commission: (1) The securities companies licensed to undertake all securities businesses in the category of securities brokerage, securities dealing, investment advisory service and securities