Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency

December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine

Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a

Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and

have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment

all sectors of the capital market, namely the Association of Thai Securities Companies (ASCO), the Association of Investment Management Companies (AIMC), the Thai Bankers Association, the Association of

seminars underscore SEC Thailand’s commitment to building a sustainable capital market by equipping investment professionals with essential ESG knowledge and analytical tools, ensuring they are well

Institute and CFA Society Thailand in promoting the growth of sustainable capital market through ESG initiatives, which include the development of Global ESG Disclosure Standards for Investment Products

Board No. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017.** Investment Consultant of Complex Products Type 1 is approved to give investment advice

demonstrating inappropriateness for acting as capital market business personnel.  Investors are strongly advised not to give passbooks and signed withdrawal slips to investment consultants to facilitate execution