SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program
giving advice or information on foreign currency denominated capital market products through Thai business operators, are not subject to the requirements to obtain licenses for investment advisory service
SEC has held a public hearing regarding the notification of “digital asset advisory service” and “digital asset fund managers” as new digital asset businesses during 8 July 2019 – 20 August 2019
ASCO ได้จัดทำร่างแนวทางการปฏิบัติงานของผู้ประกอบธุรกิจที่ให้บริการซื้อขายตาม Portfolio Advisory หรือ Program Trading โดยความเห็นชอบของสำนักงาน จะทำให้ผู้ประกอบธุรกิจทุกประเภทต้องปฏิบัติตาม
Rules Conditions and Procedures for Undertaking of Investment Advisory Business
Rules, Conditions and Procedures for Undertaking Investment Advisory Business
Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory