amendments includes: (1) Amending provision prescribing natures of giving investment advice to Thai investors on capital market products denominated in foreign currency that are not being regarded as

Bangkok, 20 October 2017 ?  The SEC is giving its full support to the Draft Law on Business Promotion and Public Access to Services through Financial Technology B.E ("FinTech Act") to create

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

considered a failure to perform duties with responsibility and deliberation as a professional. His non-compliance with the client’s instruction and his giving of advice with the implication of return guarantee

, liability of listed company will rise.??Investment analysts must adhere to professional standards and exercise due care when giving advice or opinion with impact on investment decision. Their opinion should

agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or

approval of capital market personnel due to the possession of prohibited characteristics under the third category only when at least the following actions have been taken: (1) giving an opportunity for the

imposed on an offender for these following offenses under SEA: (1) committing unfair practice regarding securities trading (e.g. market manipulation and insider trading); (2) presenting a false statement or

SEC researcher, described in presenting ?Mutual Fund Fees & Performance? that the mutual fund fees and expenses may substantially affect the value of investors? portfolio, especially those with long

provide investment advisory services; 4) process and operations of the business operator, such as, reporting of investment results, adjustment process, investment strategy by presenting information for a