Securities Issuing Companies Takeover Professionals Intermediaries Analysts / Investment Consultants ISIN Code ESG Product Platform Investor Alert Digital Assets Investor Alert Digital Assets Investors SEC and

include allowing expenses for hiring consultants and/or reviewers to be used as deductions for filing fees related to the registration statement and the annual registration statement for companies that

than 15 hours within the latest two calendar years before the approval expiration. This training is the same as that required for investment consultants (IC) and investment planners (IP). However, the

advice on derivatives investment without approval through many channels such as website, YouTube, email, phone, SMS and Line application. {A} and {B}, then investment consultants at KGI, cooperated with

not to allow investment consultants to make investment decisions for them. In case of assigning other persons to send trading orders on investors’ behalf, a written authorization is required. In any

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

planner** for three months and 22 days, effective from 22 April 2019.The SEC strongly advises investors against allowing investment consultants to make securities trading decisions on their behalf

served.Investors are strongly advised to be careful and not to allow investment consultants to make trading decisions for them. Compliance unit should be immediately informed if a trading account is used without the

consultants and analysts. The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments and recommendations via the website, or email

SEC has a plan to revise the relevant notification to allow investment consultants of  operators of securities and the derivative contract business, who have expertise in investment and keeping