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

supporting documents within 90 days from the date of filing the application with SEC, and (2) inspection of the actual work systems before granting permission to commence business operation whereby the

Bangkok, December 21, 2011 - The SEC Board agreed in principle to allow offer for sale of foreign Collective Investment Scheme ("CIS") to non-retail investor in Thailand in accordance with the 2010

of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clauses 23(2) of the Notification of Capital Market Supervisory Board No

Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client.  Following a report

Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's

Bangkok, August 21, 2014 ? The SEC is seeking public comment on revised draft regulations on services in investment products denominated foreign currencies to facilitate cross-border investment. The

draft rules permit business operators to provide services under their licenses and the foreign investment quota granted by the Bank of Thailand. In this regard, permissible investment products denominated

Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's

Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or