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

) business operator to verify the facts of the incident and report to the SEC without delay. Furthermore, the SEC has instructed the DA business operator to provide information and respond to the service users

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

facts confirmed by Zipmex Thailand. Therefore, it is considered that Zipmex Thailand deceived by presenting false statements and concealing facts that should have been disclosed to its clients, which led

liable to the offenses under the Securities and Exchange Act B.E. 2535 (1992)(SEA), as summarized below:   1. Concealing material facts regarding the interim dividend payment before the IPO, which should

submission of an incorrect 56-1 One Report for the year 2022 and the disclosure of false information or concealment of material facts that should have been disclosed, in violation of Section 56(3)(4) and

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