., is suspended for three months for failing to take care of a client's account, and instead assigning her subordinate who was an authorized trader to contact, solicit and give advice on securities

aspects, such as the accuracy of information, reliability, and the provision of advice without proper authorization.The SEC therefore aims to enhance the supervisory framework governing the use of IBA

ผู้ให้บริการกองทุนรวม วางแผนการลงทุน การเริ่มต้นลงทุน DCA/กลยุทธ์การลงทุนต่าง ๆ การจัดพอร์ตลงทุน (Portfolio Wealth Advice) เครื่องมือรู้จักตัวเอง และคำแนะนำจัดสรรวงเงิน เครื่องมือคำนวณเงินลงทุนลด

for the bond market are effective and consistent, SEC has appointed the Bond Market Development Committee to render advice on policy making and ensure timely cooperation among market participants. The

, issued by the Department of Disease Control, the Ministry of Public Health on 11 February 2020. The compliance should extend to other advice or directives to be announced in the future; and

derivatives business operators to make inquires and request advice or recommendations regarding business operation. The center will also accommodate coordination and progress updates on the end-to-end basis

allowed to give advice to investors regarding capital market products with non-complex features.  

zone has been also set up to provide a consulting service regarding fund-raising. The staff would help give advice regarding the process and access to the capital market for SMEs and start-up companies

have expressed interest and discussed with SEC the possibility of offering the services. These securities firms can provide advice on attractive digital assets for investment to customers and invest

,” giving advice on digital asset investment or quoting digital asset value, and in the case of “digital asset fund manager,” giving investment management service or making digital asset investment