two regulators over the past two years and is expected to create more opportunity for Thai capital market to connect with world-renowned Japanese capital market. It would provide more investment choices
renowned international audit firms are invited to share their views and experience concerning current regulatory and oversight issues, challenges and impediments as well as directions of international
the winner will be a good example for other provident funds, and can also be used as a stimulant to the provident fund industry to become more renowned by the pubic. This contest holds three
- region listed companies. At the global level, the SEC facilitated the opportunity for Thai intermediaries to sell the products in renowned markets; China, Japan and Korea, for example, while the
on intra- region listed companies. At the global level, the SEC facilitated the opportunity for Thai intermediaries to sell the products in renowned markets; China, Japan and Korea, for example, while
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a
have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment