between SEC Thailand and SECC in addition to the MOU signed in 2014. This MOU covers the establishment and functions of the task force between SEC Thailand and the SECC to work on the process of
processes in the capital market to work more effectively, decrease the cost in accessibility or the operation of each market participant in each sector also be transparent and able to be inspected, and
as consultants to securities companies or relating to investment management, and other work within the scope of performing duties as personnel in the capital market business.
protection remains intact while business operators still have convenience for business operation. The SEC has therefore reviewed the regulations on work systems of securities brokers and repealed two
) Soliciting a client from the securities company he used to work for to open a trading account with Apple Wealth. He lied that the shares in the client's trading account at his former employer had been
adopt the I Code as a guideline for work operation and investment.?Institutional investors are a key component of the capital market. Their adoption of the I Code will enhance trustworthiness of both
taking into consideration compliance cost, impacts and effectiveness evaluation, and to build database systems and infrastructures that maximize the use of technologies to support future work of the SEC.
provided suggestions on how to shape the environment for market forces to work effectively, for instance, quality information and fair competition.SEC Secretary-General Rapee Sucharitakul said “For the
creating a pool of knowledge on financing solutions and investment opportunities. Meanwhile, elevating cyber security and efficiency of the SEC work process is also important in keeping pace with rapid
portal approval, an applicant must have the same qualifications and work systems required for equity crowdfunding, and must also have a system for assessing credit worthiness and risks of the debt