of trust and confidence in the Thai capital market. This goes beyond the SEC having effective supervision, concrete law enforcement, swift detection of abnormalities, and prompt imposition of
, having information and research for consideration would facilitate the implementation of SEC’s policies on development and supervision of the capital market to be more precise and reach the result as
to ensure prompt actions against violations without imposing unnecessary and burdensome rules upon abiding entities;Promotion: presenting the Thai capital market as a robust venue of choice for fund
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core business is under direct supervision of another
business is under direct supervision of another regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices
progresses in the areas of market supervision and development, such as quality enhancement of IPO issuers and listed companies, legal enforcement in various cases, and improved transparency and fairness in
the SEC and the exploration of applying these guidelines to enhance the OIC’s technology risk control supervision over regulated business operators. The event took place on 26 June 2024 at the SEC