P.T. Research Co., Ltd. P.T. Research Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). This

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

, Bangkok on 24 November 2020. SEC Chairman Pichit Akaratit noted: “Research is a process of creating new knowledge, enabling development and innovation. Research is, therefore, an important mechanism for

best paper of the year was also presented at the seminar, a selected research paper from the contest “SEC Working Papers Forum 2018”. The contest was a partnership between SEC and leading institutions

Co., Ltd., (2) Diamond and Silverline Group Co., Ltd., (3) K.N.O. Marketing Co., Ltd., (4) M.B. Network Co., Ltd., and (5) P.T. Research Co., Ltd., along with four related persons, namely (1) Jaray

of audit quality of auditors. In preparing for the amendment proposal, SEC has assigned Thailand Development Research Institute (TDRI) to study and analyze laws and mechanisms related to supervision

reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's

Business Development and Operations at Morningstar Research (Thailand) Co., Ltd., shared insights on the ESG risks of Thailand’s fund industry. The event also provided an opportunity for fund managers to

event, the SEC made a charitable donation to the "Pranangklao Hospital Foundation" to help underprivileged patients and promote medical research, at the NACC Office on 17 November 2023.