The Securities and Exchange Commission (SEC), represented by Mrs. Sittasri Nakasiri, Assistant Secretary-General for Strategy and Planning, received the Best Conduct of Business Regulator in Asia
capital market to focus on offering financial advisory and planning services that can be accessed by a wider public at a low cost. ” SEC joins with business operators in the capital market from consulting
Bangkok, February 10, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for
With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their
The CMSB has amended the regulations for granting general approval of registered capital reduction for business operators on the condition that such reduction meets all specified criteria, including
(3) Notification of the Capital Market Supervisory Board No. Tor Thor. 31/2568 Re: Standards of Business Operations, Management Structures, Work Systems and Service Provision of Securities Companies
Derivatives Business Operators Association, dated 31 October 2023: (https://publish.sec.or.th/nrs/9899s.pdf). (2) The Notification of the Capital Market Supervisory Board
Increasingly, exhibitions and events in the areas of financial technology or innovations in the capital market and the digital asset market have become more popular, attracting significant interest
unlicensed business operators to set up exhibition booths, as this may inadvertently facilitate illegal activities.The SEC has been monitoring and observing events or exhibitions involving booth setups related