sort out the training and renewal requirements during the social distancing period. In this regard, fund managers, derivatives fund managers, investment analysts, investment consultants and investment
wishes to maintain the approval status, such person must take a refresher course and pay the renewal fee every two-calendar year period at the amount of 1,000 baht in case of investment consultant
give more emphasis on this matter.” In this regard, SEC is proposing an amendment to the rules on renewal of approval for personnel in capital market businesses whereby an ESG course would be
Bangkok, 8 December 2023 – The Securities and Exchange Commission (SEC) has announced the appointment of the Deputy Secretary-General in charge of Corporate Communication Division to serve as the SEC
Essentially, the draft amendment to the regulations governing capital market business personnel would (1) extend the period for renewal of approval to be on any business day until the last
services. This is to ensure that such capital market personnel can provide appropriate advice and useful information to investors. Meanwhile, the Prof. Link platform will further facilitate license renewal
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
together with the application of approval as the principle valuers by December 31, 2014. For principle valuers already approved by the SEC and intend to apply for renewal, the valuation service providers
and details in this case. It is available on the SEC website at the link: www.sec.or.th/zipmexform. Earlier, the SEC instructed Zipmex to arrange a communication service system for its clients and to
, and provide a client communication service system and complaint handling services sufficiently and efficiently. ______________________