all sectors of the capital market, namely the Association of Thai Securities Companies (ASCO), the Association of Investment Management Companies (AIMC), the Thai Bankers Association, the Association of

as an investment consultant for complex products type 1** for a period of two years, five months and seven days, effective from 17 March 2021. However, since her approval period ends on 31 March 2021

One of the objectives of the Thai capital market development plan is to enable the public to access and utilize the capital market for savings and investment purposes. SET has taken steps to

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

wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as

SEC Secretary-General Ruenvadee Suwanmongkol said: “The ESG-focused business practice and investment help to promote sustainable investment. This is a growing trend in capital markets around the

According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a

measurement of its investment in Pace Project One Co., Ltd. (Pace One) and Pace Project Three Co., Ltd. (Pace Three), from 15 January 2018 to 31 January 2018.  Initially, the SEC instructed PACE to clarify the

investment or have had enough money for long term. Therefore, SEC has gone ahead with the main strategic plan this year, promoting qualified wealth advisors easily accessible by people to use fintech as the

The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies  because business structure in Thailand is characteristic of