) Types and Scope of Duties Qualifications Qualifications of Applicants for aApproval of Investment Planner Qualifications of Applicants for Approval of Investment Consultant on Complex
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
Valuation ของตลาดหุ้นไทยในมิติของ Forward PE ปรับตัวสูงขึ้นสู่ระดับสูงสุด นับตั้งแต่ Bloomberg เก็บสถิติตั้งแต่ปี 2006 ที่ 19.9 เท่า AWC, BAM, KTC ถูกคัดเลือกเข้าสู่ดัชนี MSCI Standard Index ในขณะที่ BANPU
Rules and Appropriate Investment Advisory (3) Knowledge on complex and non-complex capital market products e.g. derivatives, debt securities, and high-risk or complicated mutual funds (4) Investment
Figure 9: Disclosure rates of SET 50 companies on specific indicators related to board matrix THAILAND CORPORATE ESG DISCLOSURE Case Study 6 is from Banpu PCL, a smaller Resources company in the SET 50. in
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
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment
of big data analysis.Experts in financial technology (FinTech) business will share their views and experiences in transforming large and complex raw data into logical, useful information on investors
development of new products with more complexity which requires additional criteria; for instance, structure of return on investment and warning of complex features and significant specific risks associated