investment or have had enough money for long term. Therefore, SEC has gone ahead with the main strategic plan this year, promoting qualified wealth advisors easily accessible by people to use fintech as the
diversify their services more efficiently.”In any case, to provide any of the two services above, intermediaries have to make an agreement with their clients regarding portfolio advisory with execution or
Deputy Secretary-General Tipsuda Thavaramara said: ?Making an electronic transaction and applying FinTech to business operation are still a challenge in Thailand mostly because the governing laws are
level. To this end, effective and continu- ous consultation with the public is an essential element that is widely regarded as good practice. A few countries have identified „a champion‟ institution to
burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for
Currently, investors are usually required to provide a lot of information each time they request services from an intermediary and must repeat the process via different forms when using services of
trust auditors with an obligation to prepare and disclose the report on unitholding in REITs and infrastructure trusts in accordance with Section 59 which is the same provision governing the
the securities company start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange
the securities company start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange
. Clause 10. For an advertisement related to a promotion which provides investors who invest in investment units with gifts, rights or any other benefits, such advertisement is permitted only when the