Sign In
SEC News

SEC public hearing on investment consultant rules



Wednesday 20 July 2016 | No. 65 / 2016



Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and derivative agent business and respond to investors? changing demands. 

The proposed rules would allow investment consultants (IC) and investment planners (IP) to render more services related to securities and derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. 

The consultation paper is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile at 0-2695-9935 or email: hiri@sec.or.th.      

The public hearing ends on August 15, 2016.