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 The SEC has therefore reviewed the regulations on work systems of securities brokers and repealed two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

applying for a digital asset exchange licence.? The applicants failed to meet the approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your

of the country."Director-General of the Legal Execution Department, Ms. Ruenvadee Suwanmongkol, said: "The signing of this Memorandum of Understanding is a vital integration of the work of relevant

Advisors and Scope of Work. The SEC, therefore, has suspended the approvals of {X1} Securites and {A} as financial advisor and financial advisory supervisor throughout the remaining periods of their