Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective

, as well as adequate measures to keep information of members and their clients confidential. Clause 18 To protect public interest and investors’ rights, a derivatives exchange shall disclose information

of investor’s wealth creation and the fund raising of issuers. SEC supervised the intermediary and has collection of annual fees at the current rate for some time.SEC, therefore, has a plan to revise

as well as licensees which cease business operations.For financial institutions supervised by other lead regulators and licensed to operate securities or derivatives businesses, such as commercial

following Divisions and Departments:           2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General

.  _______________________Remark: * Key means a cryptographic key or any other data that must be kept confidential in order to be used for approval of transfers or transactions related to digital assets in digital wallets. 

Bangkok, 17 October 2023 – SEC warns the private sector to beware of the activities which may be deemed the undertaking of the SEC-supervised securities, derivatives, and digital asset businesses

business legally under the law of home country;? -?supervised by an IOSCO member regulator; -?not having a business premise in Thailand, except through shareholding in an SEC approved local CRA; and

performance of their duties, as well as adequate measures to keep information of members and their clients confidential. Derivatives clearing houses shall disclose their regulations on good governance to the

application for change of information in Company Account to the SEC Office for updating the information at all times. 3 . We acknowledge and agree that we have the duty to oversee and keep confidential the