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
foreign investors’ participation in the Thai stock market without being subject to the foreign limit – it is appropriate to amend the regulations related to provision of NVDR transaction services by
advice service provision requires that the business operators must provide all five services as follows: (1) exploring and understanding customers; (2) constructing an investment portfolio; (3
) preparation of the service agreement in respect of, for example, scope of conditions of service provision, customer’s rights, source of investment strategy; 3) availability of the appropriate personnel to
). The total investment of 282 million baht presented at cost without any provision consists of the followings: (1) The investment through a chain of respective shareholding in Forerun Group Limited
SEC Secretary-General Rapee Sucharitakul said, “previously the comprehensive provision of counselling and advisory service on investment would be limited to private wealth only while the general
understanding on “Dissemination of Financial and Investment Literacy and Promotion of Savings for Students and Youth,” between Apirom Sukprasert, BAAC Manager, Ruenvadee Suwanmongkol, SEC Secretary-General, for
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the