derivative agent business and respond to investors? changing demands. The proposed rules would allow investment consultants (IC) and investment planners (IP) to render more services related to securities and
opportunities, while ensuring that investors would benefit from having professional investment consultants or investment planners provide securities and derivatives trading services according to investors? pre
must not have behavior showing any objectives to engage in investment advisor business and must be registered with SEC. Even though the investment planners are waived in this matter, they are required
planners who have to complete the training or renewal requirements by the end of this year can do so within 31 March 2021 instead. The approved renewal will be valid until 31 December 2022 according to
The seminar series will showcase a pool of knowledge and advice from certified financial planners (CFP) and experts on financial, investment and debt management. Investors and the interested public
compulsory for renewal of approval for investment consultants, investment planners, investment analysts, agricultural commodity trading management officials, fund managers and derivatives investment managers
center on September 27, 2023.The SEC conducted an onsite inspection and gathered evidence in this regard, reaching out to the event organizers and urging them to cooperate and cease the participation of
' Association, the Association of International Banks, the Thai Financial Planners Association, the Thai Investors Association and the Thailand Securities Institute in standardizing suitability test for
behavioral finance in issuing the regulations. For instance, the regulations governing investment consultants and investment planners making direct contact to the customers have been strengthened by requiring
Association, Association of Provident Funds, Thai Investors Association, Thai Financial Planners Association, and CFA Society of Thailand.