แผน Portfolio Advisory และ Program Trading ได้ โดยไม่ถือเป็นการประกอบธุรกิจหลักทรัพย์ประเภทจัดการกองทุนส่วนบุคคล หรือผู้จัดการเงินทุนสัญญาซื้อขายล่วงหน้าตามลำดับ ซึ่งหลักเกณฑ์ดังกล่าว มีผลใช้บังคับ
The Advisory Committee on Listed Company Monitoring to be chaired by SEC Secretary-General will play the role of monitoring progress on the consideration of legal proceedings and law enforcement
SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program
giving advice or information on foreign currency denominated capital market products through Thai business operators, are not subject to the requirements to obtain licenses for investment advisory service
SEC has held a public hearing regarding the notification of “digital asset advisory service” and “digital asset fund managers” as new digital asset businesses during 8 July 2019 – 20 August 2019
Bangkok, March 9, 2015 ? The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against Quantum Benchmark Corporation, Globalview Consulting Co.,Ltd
capital market to focus on offering financial advisory and planning services that can be accessed by a wider public at a low cost. ” SEC joins with business operators in the capital market from consulting
, namely (1) program trading service that automates trading order execution according to clients’ selected investment strategy* and (2) portfolio advisory with execution service.** Both of the services are
additional client information; - The provision of services relating to investment analysis and consultancy so as to specify the plan for investment allocation for clients by distributing investments in
offering digital asset advisory service and/or acting as digital asset fund manager to provide alternative investment choices for investors, but also support careful monitoring of persons giving advisory