number of customers and the investment amount of each client. Following the public hearing on the regulatory sandbox amendment conducted earlier this year, which received favorable responses from most
investors and companies managing assets for investors locally and overseas. This in turn will help to create a favorable environment for good corporate governance and encourage responsible business operation
-related risks and opportunities into securities analysis and asset management to enable favorable long-term returns for investors. The Thai version of the TCFD recommendations is now available for
business strategies and to reduce inequality in their business operations. In so doing, SEC also focuses on fostering a favorable ecosystem for sustainable development by taking into consideration all
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
of big data analysis.Experts in financial technology (FinTech) business will share their views and experiences in transforming large and complex raw data into logical, useful information on investors