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The current criteria require investment analysts (IA) seeking renewal of their approval to undergo a knowledge refresher by completing training or participating in eligible activities for no less

;           (2)  DA fund managers would be required to keep documentation of their activities related to digital asset fund management, including documentation regarding consideration and decision making on

SEC Thailand has proactively taken part in this annual event for the sixth consecutive year. This year’s activities will be launched under the theme, “Investor Resilience” or “How Can Investors Make

discipline, training students on correct financial management principles, encouraging responsibility and instilling the habit of spending time on activities that are beneficial to the community by

of saving. By attending the National Children’s Day 2020 event, SEC will hold informative activities for kids for the first time. They are in the age of learning and memorizing, which is an

without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions

to support the using of new technology in several activities in capital market, in particular fundraising, trading, and clearing and settlement. We believe that the embrace of innovation would promote

Global Markets Ltd. (Navista) for operating derivatives business without license. Following the reports on their suspicious unlicensed derivatives activities, the SEC conducted raids on GISP?s office

referral from the Stock Exchange of Thailand (SET), irregularities were detected in relation to the trading activities of such shares by a certain group of persons. An SEC subsequent investigation revealed