. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the
therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
2016.In any case, investors should not disclose their usernames and passwords for investment consultants to execute trading orders on their behalf. Similarly, investment consultants must not seek
behavioral finance in issuing the regulations. For instance, the regulations governing investment consultants and investment planners making direct contact to the customers have been strengthened by requiring
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Printable Format - กฎหมาย ประกาศ หนังสือเวียน วิธีปฏิบัติ Derivatives Advisors >> การขอรับใบอนุญาต/จดทะเบียน ประเภท เรื่อง มาตรา ดูเอกสาร วันที่ลงนาม วันที่มีผลใช้บังคับ 1. ประกาศคณะกรรมการ ก.ล.ต
SHARE : Detail Content When solicited to invest in digital assets , please check the list of the SEC licensed business operations/investment advisors at: SEC Check First (Thai https://www.sec.or.th/EN
invest in digital assets, please check the list of the SEC licensed business operations/investment advisors at: SEC Check First (Thai https://www.sec.or.th/EN/Pages/Investors/Investors1.aspx SEC Search