Public hearing regarding investment analysts and investment consultants

Stocks and Financial Services Press Releases Wednesday September 25, 2013 15:34
Bangkok--25 Sep--SEC

The SEC is seeking public comment on the revisions of an approval regime for technical analyst as well as qualifications of investment analysts and investment consultants after a hearing on the principles for revisions of approval regime had been launched earlier. The revisions aim at elevating professional standards and increase the number of personnel in Thai capital market which will respond better to a variety of investors’ demands. The consultation paper is available until September 25, 2013.

The proposed qualification revisions are, for example, persons seeking approval of investment analysts will be required to pass examination on derivatives in addition to holding Certified Financial Planner (CFP) certification. Thai Bond Market Association bond dealer members will be able to seek approval of bond investment consultant if passing examination on relevant regulations.

The draft regulation and consultation paper are available on the SEC website at Stakeholders and interested parties are welcome to submit comments through the website, through facsimile number 0-2263-6332 or email to until September 25, 2013.

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