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investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
. If issues arise, investors should be able to seek remedies and solutions from protection mechanism, depending on the types of risks and the types of products and their providers. Effective investor
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
the SEC Board to include ordinary person investors in the “institutional investor” category. The revision to the definitions of the term will become effective as from 1 October 2022. This may cause
amended regulations has been published in the Government Gazette and has become effective since 1 March 2022. The transitional provisions thereof allow digital asset business operators a period of three to