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
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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
As information-consuming behavior has shifted as a result of technology, presenting information via crowdsourcing has been widely spreading. Therefore, SEC has had an idea to waive the supervision
DCA service providers and portfolio wealth advisors; (4) Updates on mutual fund-related activities: Providing information on trainings and seminars, and new mutual funds.Additionally
convergence with international standards of securities offering with an emphasis on (1) adequate and reliable disclosure of relevant information for investors? informed decision making, (2) professional roles