licenses later if the applicant intends to undertake other types of securities businesses. The current licensing regime requires an applicant to submit an application according to the types of securities

in their business operation.The SEC is therefore proposing draft rules related to preparation and submission of data and information according to specific, standardized formats to facilitate ICO

According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012,  executed securities trading orders for the client who acknowledged

from holding the director and executive positions at any securities issuing company and listed company. According to the referral from the Stock Exchange of Thailand (SET) and the SEC's further

of this facilitator rules, the SEC is also proposing that the Capital Market Product Trading Services with Limited Discretion According to Clients? Pre-determined Investment Scope rules be repealed and

Group Public Company Limited (TOG). The offenders paid civil penalties and compensation for the received benefit, at the total amount of 4.83 million baht. According to the referral from the Stock

According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been

) implementing the portfolio according to the asset allocation plan; (4) monitoring and rebalancing the portfolio; and (5) providing consolidated reports for customers’ review;2.     The wealth advice service

: https://www.iosco2023thailand.com/________________________ About the SEC Thailand The Securities and Exchange Commission, Thailand is an independent regulator established according to the Securities and

teachers and educational personnel solve their debt problems efficiently,” added Ms. Ruenvadee.     Under the MOU, the signatories will contribute to the cooperation according to their roles and