instruments type 1 is allowed to give advice to investors about capital market products without complex features and products with high risks or complexity of all types. Ex., investment units of mutual funds
characteristics, for example, investment units of mutual funds offered for sale to institutional investors or ultra-high net worth investors, investment units of mutual funds investing in derivatives, hybrid
investment funds in accordance with the rules of the Bank of Thailand and other applicable laws, among others.SEC Secretary-General Ruenvadee Suwanmongkol said, “SEC has a policy to support and allow investors
Microsoft PowerPoint - BTSG Green Bond at Towards the Sustaibable Finance and Investment in Thailand downloaded version BTS Group Holdings PCL Towards the Sustainable Finance & Investment in Thailand
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
continue to monitor and update news and information of the invested shares through the Electronic Information System of the Stock Exchange, the issuer's annual report or newspapers. Shareholders should also
Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
of investment in Day Poets Co., Ltd (A day). On 27 March 2017, POLAR disclosed information through the Stock Exchange of Thailand (SET) concerning four issues as follows: (1) refusal to hold an EGM as