Formax International Advisory Services (Thailand) Co., LTD. : Unlicensed securities and derivatives business (Disclosure Date : 06/03/2015)
The Advisory Committee on Listed Company Monitoring to be chaired by SEC Secretary-General will play the role of monitoring progress on the consideration of legal proceedings and law enforcement
SEC Thailand Assistant Secretary-General, Mrs. Charuphan Intararoong opened the event with remarks highlighting the growing importance of ESG in enhancing market resilience and investor confidence. She expressed gratitude to Mr. Richard McGillivray, Senior Director of Product Advocacy and Education for Asia Pacific at CFA Institute, for his valuable contributions. Mr. McGillivray led interactive sessions, including workshops and case studies, that engaged approximately 200 industry partic...
giving advice or information on foreign currency denominated capital market products through Thai business operators, are not subject to the requirements to obtain licenses for investment advisory service
SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program