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of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. In this case, the SEC disclosed inappropriate behavior from May 7, 2014 and suspended {A

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5404

SEC sanctions an investment consultant for concealing material information

Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5253

SEC sanctions an investment consultant for concealing material information

Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Accordingly, the SEC

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5254

SEC adds “digital asset investment advisor” and “digital asset fund manager” as new regulated businesses and amends regulations on supervision of digital asset business operators to strengthen

According to the Ministerial Regulation Re: Granting of Approval for Undertaking Digital Asset Business (No. 2) B.E. 2563 (2020), which became effective on 27 November 2020, “Digital Asset Investment

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8822

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8823

SEC Thailand’s public hearing on the proposed rules on the offering of investment token, the regulation regarding custodial wallet provider, and other related regulations on the digital asset

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=894

SEC Thailand’s public hearing on the draft regulations on the offering of investment token, the regulation regarding custodial wallet provider, and other related regulations on the digital asset

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=933

SEC suspends an investment consultant for failure to disclose investment risk and trading securities on behalf of clients

Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5754

SEC launches the Five Steps toward Investment Confidence project -- a new dimension of comprehensive investment care services for financial freedom

SEC Secretary-General Rapee Sucharitakul said, “previously the comprehensive provision of counselling and advisory service on investment would be limited to private wealth only while the general

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8263

SEC suspends two investment consultant and investment planner for performing duties without loyalty, causing damage to investors

Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017. ** An investment consultant for complex instruments type 1 is allowed to give advice to

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8080