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
which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
Corruption.” Additionally, there was an exhibition highlighting anti-corruption efforts across different sectors. The event was held on 8 December 2023, at IMPACT Forum Hall 4, Muang Thong Thani.
The Securities and Exchange Commission (SEC), in collaboration with Manoottangwai (meaning “people of different generations”) content creator, organized the "Lifelong Investing for the 50
Currently, a large number of intermediaries provide investment products and services. They each tend to require investors to fill in a lot of information via various, different forms to open an
amendment include creation of preventive mechanism against conflicts of interest, selection of intermediaries to support offer for sale of mutual funds of different types that would serve different target
trust)—may be managed by entities other than asset management companies (CIS operators). These entities are, however, supervised by foreign securities regulators that are ordinary members of IOSCO