English (United States) SECPeople /derivatives intermediaries , e.g., brokers, dealers and asset management companies, and the SEC approved entities, e.g., investment consultants 1 and listed companies 2
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
phase is being carried out in collaboration between the Working Group and consultants from the Climate Bonds Initiative (CBI), DNV, and the Thailand Development Research Institute (TDRI). The project is
management, and agriculture. This phase is being carried out in collaboration between the Working Group and consultants from the Climate Bonds Initiative (CBI), DNV, and the Thailand Development Research
SEC Secretary-General Ruenvadee Suwanmongkol said: "As capital market personnel, investment consultants, investment planners and investment analysts all have important roles to play. Therefore, the
as consultants to securities companies or relating to investment management, and other work within the scope of performing duties as personnel in the capital market business.
, especially those products for which the investment consultants receive high sales commissions or want to boost sales volume. Moreover, there was a lack of persons to monitor their investment after the
investment consultants offered for sale of 5-year structured notes to the client. The client made investment based on the understanding that the bank would redeem the notes after six months as from the
respond to investors? demands and enhance investors? protection. SEC Assistant Secretary-General Duangmon Chuengsatiansup said: "investment consultants are required to have their clients take a suitability