Personnel in the Capital Market Business (No. 7), dated 30 August 2017. ** Investment Consultant for Complex Instruments Type 2 is allowed to give investment advice on non-complex capital market products
The SEC has disclosed the statistics on the reporting of investment scams in the capital market through the Investment Scam Hotline 1207, extension 22. The reporting system is also available on
Thai ESG funds and strengthen the fiduciary duty of asset management companies (AMCs) to ensure responsible investment. Mrs. Pornanong Budsaratragoon, SEC Secretary-General, said: “The Capital Market
Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017. ** An investment consultant for complex instruments type 1 is allowed to give advice to
investment was made. Therefore, the general public could not utilize the capital market to create financial freedom.”“The Five Steps toward Investment Confidence project was initiated from the intent of SEC in
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved securities investment consultant
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
digital assets. Therefore, the SEC, with the approval of the SEC Board at its meetings convened in December 2023 and March 2024, and the Capital Market Supervisory Board at its meeting in April 2024, deems
analysts and fund managers can apply to their work. ESG, in essence, is a mechanism for developing a sustainable capital market. CFA Institute, the global association of investment professionals, invited
Bangkok, March 12, 2013 ? The SEC is seeking public comment on proposed regulatory revisions to increase the numbers of intermediaries for the sale of investment units and investment advisors in the