Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment

planning whereby securities brokers and derivatives agents would be allowed to offer services on asset allocation and investment planning in the forms of program trading and portfolio advisory with

on investment advisor via crowdsourcing which are required to be granted SEC licenses. Investment advice must be made to general, not specific, investors and must be independent advice without

According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant

Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing

example, shares, debt securities, mutual funds and derivatives, and can use the single form or the information provided therein to open new investment accounts with other service providers.”   The

therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020.  SEC emphasizes the importance for investment consultants

Capital Market Business (No. 7) dated 30 August 2017.   **  Investment consultant on non-complex products in the capital market and investment units or debt securities having high-risk or complex

related policies or guidelines in accordance with the Notification of the Securities and Exchange Commission concerning Rules in Detail on Establishment of Information Technology System as well as the

risk investment policies. (Only for the policies investing in low-risk securities less than 50% of individual investment capital)   (2) The revision will provide fund members with investment alternatives