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

ผลิตภัณฑ์นี้ให้ผลตอบแทนและมีความเสี่ยงอย่างไร เหมาะสมกับใคร ต้องเตรียมตัวอย่างไร และมีช่องทางลงทุนอะไรบ้าง พร้อมรับคู่มือการลงทุน ?Ask First Kit? ตัวช่วยตั้งคำถามเกี่ยวกับผลิตภัณฑ์ทางการเงิน เพิ่มความมั่นใจใน

suit for the investment??, ?How should the investor be prepared before investment??; and ?What are the investment options available??, for instance. Also, our guests will receive ?Ask First Kit?, a how

Mr. Chan Tin Shu Mr. Chan Tin Shu knew or possessed inside information about Thai Union Group Public Company Limited (TU)’s Q3/2017 performance, disclosed by Mr. Chan Hon Kit. Subsequently, on 9

Mrs. Choy Yuen Chu Mrs. Choy Yuen Chu knew or possessed inside information about TU’s Q3/2017 performance, disclosed by Mr. Chan Hon Kit. Subsequently, on 9 October to 3 November 2017, she purchased

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

business legally under the law of home country;? -?supervised by an IOSCO member regulator; -?not having a business premise in Thailand, except through shareholding in an SEC approved local CRA; and