burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for

example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to

first place. The clients therefore suffered damage.The 10 investment consultants worked for five securities companies, namely: (1) Capital Nomura Securities Public Company Limited, (2) Kasikorn Securities

Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was

} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A

asset size must share significant proportion to holding company and 2) holding company?s investment capital in other businesses (non-core business) must be less than 25% of holding company?s total asset

-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital

Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any