and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
innovation in disability employment organized by the Social Innovation Foundation (SIF), the Thai Health Promotion Foundation (ThaiHealth), and partner organizations. The event featured knowledge sharing
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
: .......................................................... E-mail address: ........................................................................................................................ 7. Affiliated with audit firm