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

To ensure that asset management companies primarily manage funds for the investors’ benefits,  SEC has revised the regulations in order to control and monitor mutual fund management by requiring

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

?Bangkok, August 4, 2014 ? The SEC will allow commercial banks to offer for sale to retail investors, Basel III tier 2 instruments with condition of conversion to equity and specified floor