Before providing investment service in the capital market, intermediaries, such as securities companies and asset management companies, must know their investors or clients’ detailed information
Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment
Essentially, the new rules allow securities brokers and derivatives agents to provide two types of trading services of capital market products that respond to investors’ demands more efficiently
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
affected client. Nuchanart’s demeanors above were wrongful acts against investors, which were deemed failure to perform duties or give services with loyalty in accordance with the Notification of the
exclusively for green, social and sustainable securities, to allow global investors a convenient information access to such products and attract foreign investments to Thailand.Following the meeting, SEC
investors who are looking to invest sustainably can use the Map to explore the investment opportunities, given their alignment to Thailand’s SDG gaps and needs and the governments’ development priorities
recent suspension of all Baht and cryptocurrency withdrawals. The e-form aims to further facilitate the affected investors’ submission of information and the SEC’s collection of clear and accurate facts
Previously SEC had a policy to support securities companies and derivatives business operators in Thailand (or intermediary business operators) to expand their scope of services for Thai investors to
true owners of such right suffered damage; however, Krungthai Zmico has already returned the right to the IPO allocation to the clients. Niparporn’s misconduct against investors’ assets is deemed failure