Plain Investment Consultant
Complex Type 2 Investment Consultant
In May 2024, the SEC conducted a public hearing on the proposed amendments to the regulations governing the management and storage of data related to digital asset business operations with the objectives of ensuring accurate and adequate information for effective and timely monitoring and supervision of operational risk of DA operators, and enhancing trust and confidence of stakeholders. Most respondents agreed with the principles and the proposed amendments to such regulations. The SEC has ther...
specifies that digital asset business operators establish measures for controlling and keeping clients’ digital assets securely or deposit clients’ digital assets with a third party custodian who is fully
Bangkok, July 5, 2012 - The SEC strictly supervises investment consultants (marketing officers) of securities companies to prepare and keep complete records of client's securities or derivatives trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc...
Bangkok, April 4, 2014 ? The SEC hosted the ?SEC for CEO Forum? to leverage private sector to tie sustainability to their business operation and prepare for mounting technology risk.Vorapol Socatiyanurak, SEC Secretary-General said that the SEC hosted ?Modern business, attentive and ready for any situation?, the first ?SEC for CEO Forum? in 2017 to strengthen cooperation and exchange experience and insight between top executives of listed companies and the SEC. The Forum focused on corporate re...