the existing rules which allow only natural persons to perform such role. Once effective, the amendment is expected to further facilitate access to fund investment and promote development of new
Bangkok, March 12, 2012 ? SEC Secretary-General Vorapol Socatiyanurak reveals that the SEC and Association of Investment Management Companies (AIMC) discussed the policy to develop asset management
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant
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
At present, securities and derivatives business operators (Thai business operators)* are allowed to provide services for Thai investors’ investment in foreign capital market products through business
According to the Ministerial Regulation Re: Granting of Approval for Undertaking Digital Asset Business (No. 2) B.E. 2563 (2020), which became effective on 27 November 2020, “Digital Asset Investment
securities investments; “investment advisory agent” means a natural person other than director or officer of the investment advisory company, appointed by the investment advisory company to be an advisory
contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze securities investments; “investment advisory agent