suitability, update of customers’ information, use of consulting experts, no pressure on customers’ decision-making, and specific conditions for digital asset trading centers and dealers like a case of

securities and derivative contracts that the clients wish to trade with no limit, in order for investors to have options and opportunity for investment in products that they wish to invest in, and the stop

Section 296/2 of the Securities and Exchange Act B.E. 2535 (1992), which was amended by the Securities and Exchange Act (No.5) B.E. 2559 (2016).The Civil Sanction Committee agreed with  SEC to enforce

. In addition, the SEC proposes to repeal the requirement for foreign auditors of equity issuers to be affiliated with audit firms in the same group as Thai auditors and to specify no provisions

Exchange Commission No. Sor Shor. 39/2553 Re: Approval of Auditors in the Capital Market, dated 23 September 2010.

grow. The SEC is revising the regulations on establishment of Islamic mutual funds, in accordance with the resolution passed at the Capital Market Advisory Board’s Meeting No. 2/2023, held on 21 February

money more efficiently, the SEC, with the approval of the Capital Market Supervisory Board at the Meeting No. 10/2565 dated 22 September 2022, is proposing a regulation that would require AMCs

registration statement with the SEC Office.   ** Notification of the Securities and Exchange Commission No. Kor Jor. 39/2564 Re: Determination of Definitions of Institutional Investor, Ultra-High Net Worth

reported the case to the AMLO for consideration of further actions.______________________Remark: * SEC News No. 25/2023 released on 8 February 2023: “SEC imposes civil sanctions on 14 offenders for share

On 15 August 2023, the Capital Market Supervisory Board Meeting No. 8/2023 passed a resolution approving the principles and draft regulations related to protection of derivatives business customer