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
enhancing the sustainable growth of the Thai capital market as well as encouraging people of all generations to view capital market as their investment choice. Importantly, providing the business sector
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
market business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Saowarat as an investment consultant for complex
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
investment consultant. However, the approval as securities investment consultant for Nattapong has already expired since 31 December 2018. SEC has therefore prohibited him from re-entering as capital market
charge of capital market business and suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already