addition, the SEC will extend the scope of services for category B derivatives investor contact limited to gold derivatives to cover precious metals derivatives, and will allow selling agents whose services
work for audit firms having quality assurance system in compliance with professional standards, the SEC regularly inspects the firm?s audit quality to uphold market fairness, ensure proper investor
Thai incorporated companies and foreign companies not listed on specified main board of foreign exchanges. The proposal aims at enhancing investor protection while pushing securities issuers to rectify
painting the award is judged under four criteria, including: concept and creativity, design and arts, utility, and presentation.?The booth presentation aims to emphasize the SEC?s role in investor protection
Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication
advice without the use of human financial planner. While embracing financial innovation, the SEC still put highest emphasis to ensure sufficient level of investor protection in the Thai capital
case with hedge funds. Meanwhile, the investor qualifications would also be revised to ensure that only accredited investors with matching risk profiles would be eligible to invest in higher risk mutual
Bangkok, November 12, 2015 ? The SEC will continue its drive to promote financial literacy and investor education via the SEC Open Space multimedia exhibition at the SET in the City 2015.?This year
lead to economic expansion and development of the country.Taking into account the balance between regulatory burdens and investor protection, the proposed supervisory framework covers supervision on
the universe of financial products and services for investors.The regulations will emphasize on information disclosure and appropriate level of investor protection. Foreign companies intend to raise