}: considering the level of her wrongful conduct, her status as an approved securities investment consultant should be revoked. However, since the said status had already expired on 31 December 2019. SEC

wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as

opportunities, while ensuring that investors would benefit from having professional investment consultants or investment planners provide securities and derivatives trading services according to investors? pre

repo agreements of listed securities and investment units with both institutional investors and non-institutional investors. Thus, securities companies and investors will be able to use such repo

denominated in currencies of the foreign investment fund, 3) face value of securities denominated in currencies of the foreign investment fund, 4) fair value denominated in currencies of the f foreign

to facilitate cross-border investment in the ASEAN region. SEC has already put in place rules permitting securities brokers or investment advisors to promulgate research analysis. The promulgation

example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to

more weight to sustainability-driven securities investment. This means issuers of such securities could gain more recognition from stakeholders and grow their business sustainably while contributing to a

The Securities and Exchange Commission (SEC) has convened a meeting with the Association of Investment Management Companies (AIMC) to discuss policy directions for developing asset management

According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1