. Furthermore, it seeks to enhance the efficiency of bondholders’ representatives in fulfilling their duties and bolster the credibility and protection of debt securities investors. The SEC and ThaiBMA are
and innovations to facilitate fast and convenient market access, more efficient cost management of existing and new intermediaries in fulfilling investors? demands, enhancing market supervisory
across all sectors about the significance of fulfilling their duties to prevent, deter and suppress inappropriate behaviors by listed companies, which could harm and undermine trust and confidence in the
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
development of new products with more complexity which requires additional criteria; for instance, structure of return on investment and warning of complex features and significant specific risks associated