Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision

SEC Secretary-General, Nataya Niyamanusorn said, “SEC has seen the wealth advisors having important role for the investors because they could make the investors realize financial planning as a

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

Board’s Meeting No. 3/2563 held on 3 March 2020 chaired by SEC Secretary-General Ruenvadee Suwanmongkol, the Meeting has considered the guidelines for enhancing the securities companies’ capability and

under Royal Patronage to help lawyers sharpen their capability about class action in capital market cases so that they will be able to deliver justice for investors who were wronged by persons that went

The enhancement of fund managers’ duty performance in accordance with I-Code** will be  supported by Thailand ESG Data Framework – an initiative under the AIMC Three-Year Sustainable Roadmap. The Capital Market Development Fund  (CMDF) renders financial support to this initiative. Morgan Stanley Capital International (MSCI), an international consultant, is commissioned to study and develop a data framework that is suitable for the context of Thailand and in line with international standards. The...

Maintenance of Capital of Investment Advisors and Derivatives Advisors

Rules on Undertaking of Derivatives Business for Licensed Derivatives Advisors

Rules on Undertaking Derivatives Business for Licensed Derivatives Advisors

Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital