implementation with company boards of directors, executives and major shareholders. Institutional investors will be a key driver to promote such implementation, while supervision of financial advisors will be

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

The SEC Board has passed a resolution approving in principle the proposal to amend the Ministerial Regulations on Licensing of Digital Asset Businesses B.E. 2561 (2018) and relevant regulations to promote fundraising and investment in investment tokens and to support interested securities business operators in providing services related to the said products. This in turn would increase access channels to investors in both primary and secondary markets. The SEC is therefore conducting this public...

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

Maintenance of Capital of Investment Advisors and Derivatives Advisors

exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of financial advisors to ensure that the aforesaid companies will be able to grow sustainably while complying

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