require financial advice and planning service from advisors who are knowledgeable, provide quality services and are considerate of interest of the customers. Hence, the “Wealth Advice for All” project was

SEC Thailand, as the host of the 30th ASEAN Capital Markets Forum (ACMF) on 18 March 2019, and other ASEAN regulators endorsed the Roadmap on ASEAN Sustainable Capital Markets to provide clear

(2018-2037). In this regard, the SEC has revised the SMEs share offering rules to provide SMEs with wider choices of fundraising channels, including share offering to the issuer’s group of companies

products denominated foreign currencies. The revised regulations will allow business operators to provide services in foreign currency denominated products as permitted under their licenses.  In addition

in case of failure to rectify. The proposed rules will provide more up-to-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well

Bangkok, June 5, 2014 ? The SEC is seeking public comment on revision of rules governing mutual fund prospectus to provide more useful information for investment decision making.  Management

draft rules permit business operators to provide services under their licenses and the foreign investment quota granted by the Bank of Thailand. In this regard, permissible investment products denominated

but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public

information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113

business operation vaguely. As a result, Finnomena shall not provide business continuously. Moreover, Finnomena did not notify outsourcing function to the SEC Office. SEC Act S.113 Settlement Committee