prevent conflicts of interests, a system to prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place

be required to perform additional duties, for example, putting in place a system to inform the clients within a specified period in the case that the loss exceeds the specified amount, etc. SEC has

notification requires the business operators to comply with the policy, measures, and practice guideline for the delegation of other persons to operate a business on their behalf, for example, putting in place

manipulate the share price of S.E.C. Auto Sales and Services Plc. (SECC) during September 12- November 24, 2008.  All said trading activities took place in concealment to mislead the public to believe that the

Currently, sustainable investing has gained continuous interest from global investors. Both the SEC and the Securities and Futures Commission, Hong Kong (SFC) place importance on promoting the

support legal enforcement under the SEA after the criminal complaint has been filed.   Since the financial transactions in this case took place overseas, the SEC has collaborated with and received

 the business operators have in place the system and measures to prevent such incidents from happening again.  The consultation paper is available at https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID

associated with transitioning to a low-carbon economy. The panel discussion took place on 27 May 2024.As a panelist, Mr. Thawatchai highlighted the SEC's role in driving and supporting a trustworthy and

service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under

) which contains certain provisions in relation to the restriction of rights and liberties of persons, which Section 29 in conjunction with Section 33, Section 34, Section 41, Section 43, Section 44 and