planner** for three months and 22 days, effective from 22 April 2019.The SEC strongly advises investors against allowing investment consultants to make securities trading decisions on their behalf
In March 2018, ACMF launched the ACMF Professional Mobility Framework to contribute towards investment consultation and analysis on cross-border products in ASEAN region which will facilitate investor access to information prepared by professionals with understanding of foreign products for investment decision-making. With respect to movement to a host country, professionals approved by the regulator of the recognized ACMF member will be exempted knowledge test on products and rules and r...
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading execution program. She also transferred her own money into the client’s trading account as a collater...
SEC has a plan to revise the relevant notification to allow investment consultants of operators of securities and the derivative contract business, who have expertise in investment and keeping abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments must be within the scope agreed by the clients in advance, in order to expand the service scope of t...
The SEC issued the notification in accordance with the principles approved by the Capital Market Supervisory Board at the meeting in December 2025, under which shares of listed companies participating in the SET’s JUMP+ Program and having obtained a CGR score of 90 or higher, or an equivalent rating, are designated as sustainability securities eligible for investment by Thai ESG. The revision is intended to enhance the role of the Thai capital market in supporting listed companies that demonstra...
that {B} had traded the client's securities without client's order. By admitting that trading decisions (30 percent of the transactions) were made before notifying the client, his action was therefore
following matters: (a) admitting member and maintaining a membership, as well as clear an fair registration of the appraisal company and natural person to be the appraiser for widely used appraisal by having