● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full name of the investment consultant. ● Name of Securities/derivatives intermediary or the
incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants / investment analysts / unit sellers to give information or advice on the invested products or
company under the SEC supervision, first of all, the complainant should contact the compliance unit of the company directly because the compliance unit is authorized to monitor staff operations according to
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making investment decisions with confidence; being treated fairly in securities trading activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor
holder CAIA Association Chartered Alternative Investment Analyst, awarded in 2011 and a current charter holder Current Appointment Deputy Secretary-General, SEC Experiences Securities and
Sub-committee on Consideration of Regulations on Property Funds, Infrastructure Funds and Real Estate Investment Trusts Experiences Chief Executive Officer, Association of Investment Management
business operators, unfair securities trading activities in the capital market. The SEC revenue comprises fee income, subsidies from the Stock Exchange of Thailand, investment revenue and others. All
information and make confident decisions on investment. The capital market is operated with fairness, efficiency and transparency. Systematic risks in the markets can be managed and contained within limits
development SEC Roles Related organizations Related persons Sustainable development roadmap Rules/Regulations SEC Securities and Exchange Act B.E. 2535 (1992) Related notifications I Code Investment Governance