The warning came after the SEC had received information from the concerned public and stakeholders who noticed that unlicensed business operators in the securities and digital asset sectors
procedure for selling of high risk securities such as suitability test, key information disclosure and warning of the securities? high risks or complexity.? Mr. Vorapol added.
suppressing unlicensed digital asset businesses, while protecting users from lack of legal protection and mitigating risks of scams and money laundering.” Earlier, the SEC issued a public warning regarding
by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication with or providing services to a client , [ii] any warning or [iii] signing acknowledgement or
investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous
Policy Department, to be effective from 16 January 2020; 2. Mr. Pariya Techamuanvivit, from Director of the Corporate Communication and Investor Service Department to Director of the Sales Conduct
The Securities and Exchange Commission (SEC), represented by Ms. Archinee Pattamasukhon, Assistant Secretary-General in charge of the Corporate Communication Division, participated in a TikTok
Education Department (SEC), delivering an introductory session on personal finance. Approximately 80 deaf participants attended the seminar, with communication facilitated by sign language interpreters. The
organizations for their outstanding achievements in deploying information and communication technologies to enhance efficiency, capacity and operation. FutureGov Awards are divided into 16 categories: (1