Ms. Nopnuanparn Pavasant, Assistant Secretary-General of the Securities and Exchange Commission (SEC), delivered opening remarks at the ICO Portal Compliance Meeting 2025, organized by the SEC. The

The Securities and Exchange Commission (SEC) organized “Financial Planning for Women” activities for staff of Facebook (Thailand) Co., Ltd. The event was run by the SEC Department of Capital

Mrs. Pornanong Budsaratragoon, SEC Secretary-General, delivered a keynote speech on "Supervision for Sustainable Growth" at the TFPA Wealth Management Forum 2023: Default & Fraud, organized by the

The Securities and Exchange Commission (SEC) organized a lecture on “Roles and Mission of the SEC” and “Digital Assets and Safe Investment” for trainees of the Justice Executive Training Program

The Securities and Exchange Commission (SEC) organized a board game workshop, "Fund Quest: Mutual Fund Conquest Mission," to promote knowledge and skills for sound savings and investment planning and

maintain internal records that are accurate and sufficiently detailed and comprehensive to reconstruct the credit rating process for a given credit rating action. The records should be retained for as long

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents

& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk

safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows:           (1) DA operators would be required to keep records related to the