financial advisory or planning services have been provided only to high-net-worth invertors. SEC then initiates the Wealth Advice for All project with the goal to encourage the business operators in the
Fund (SSF) which has the policy on investing in listed securities on the local exchanges, called “SSF listed securities”, under the following conditions:(1) Not less than 65% of net asset values are
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
stability of the high yield bond market as well as offer an alternative for high net worth investors to make investments through professionals instead of investing directly in such instrument.Earlier, on 16
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
Online Fund Approval and Management System (OFAM) ระบบอนุมัติจัดตั้งและจัดการกองทุน Online Fund Approval and Management System (OFAM) โปรดระบุข้อมูลด้านล่าง (Please fill in information below
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
Online Registration and Approval System (ORAP) ระบบให้ความเห็นชอบ Online Registration and Approval System Username (E-mail or ID No.) : Password : คู่มือลงทะเบียนเข้าใช้ระบบ
Online Registration and Approval System (ORAP) ระบบให้ความเห็นชอบ Online Registration and Approval System กรุณากรอกข้อมูลต่อไปนี้เพื่อเข้าสู่ระบบ (Please enter information below) ประเทศที่ออกบัตร