operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring

frauds and scams as well as money laundering schemes. The list of business operators not supervised by the SEC can be checked at the “investor alert” link https://market.sec.or.th/public/idisc/th

suggests that digital asset transactions be executed through licensed digital asset business operators that are supervised by regulators to ensure that such investment is protected by law. In this regard

be properly supervised by the business providers and for a more effective supervision system to make the regulatory system more efficient and comply with international standard, such as, the right to

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

statements and operating results of the past 3 years or since actual operation of business by providing the following information: (1) summary of auditor’s report; (2) summarized table of consolidated

handling of complaints and disputes, and inform complainants or disputants of the results of consideration of the complaints or disputes; (4) submit to the SEC Office a summary report on complaints and

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