SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with
provide services with loyalty* by committing wrongful acts against investors’ assets, which was an offense liable to revocation of approval as investment consultant. However, the approval as securities
principles of technology usage;(3) Allow fund managers or securities analysts to participate in fintech development/application processes;(4) Have a control and inspection system for algorithm
events leading to fluctuations in the investment management business, a significant impact could produce an effect on the overall financial system of the country.SEC therefore needs to revise report
Khon Kaen Smart City Project under which technology is applied to develop the city’s internal management systems such as the public transport system. As a result, it is one of the provinces with high
, especially those products for which the investment consultants receive high sales commissions or want to boost sales volume. Moreover, there was a lack of persons to monitor their investment after the
. Research reports produced by professional investment analysts are a source of important information that investors can use to make well-informed investment decisions for long-term financial goals.However
the society in some ways. This is also a great opportunity for our SEC family to share happiness with our fellow Thais. “SEC Staff is very pleased to be a part of social sharing through the Pantry
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to