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

, the current Chair of ACMF. The Framework, an initiative under the ACMF Implementation Plan endorsed by the ASEAN Finance Ministers, enhances ASEAN?s attractiveness as a fund-raising centre. Under the

technology (IT governance), and implementation of appropriate risk management and resource allocation by their board of directors and executives that is practical and meets the standards established by an

implementation Details 1. To acquire assets or finance acquisitions of other business, related to the operation of the current business. - In case of asset acquisition: describe the types of assets and their

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

guidelines at both the strategic and implementation levels, having developed an AI Strategy, AI Ethics, and an AI Operation Framework to ensure responsible AI adoption within the organization. The SEC has

2019to discuss the implementation and application of the DLT, to increase the efficiency and reduce cost of operation, and overall processes from the first step to the last, relating to fundraising and