and a minimum of 10 million baht in paid-up capital will also be applicable. Meanwhile, annual license fee will be lowered for the all Type D licenses brokering at least 3 types of the investment unit
mutual fund investment is a convenient way to save, particularly for those capital market investment beginners. At present, more than half of securities companies also provide mutual fund brokerage
apply for an applicable license with SEC. In this regard, SEC adopts the regulations on business conducting for “Digital Asset Investment Advisor” and “Digital Asset Fund Manager” purporting to ensure
comprehensive direction towards an ecosystem for sustainable capital market development, as well as an ASEAN asset class for sustainable investment. The members agreed that the Roadmap should address key areas
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
personal use, and (3) redeeming investment units in the client’s mutual fund portfolios through the bank’s internet banking and transferring the fund from the unit redemption to her own banking account
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
the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A