following actions during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the
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
SEC, as the agency responsible for the supervision and development of the Thai capital market, focuses on the development of more options for SMEs and startups to mobilize funds through the capital
time since the inception in 2012. The recent findings in 2019 reflect notable effort by the supervisory agency for supervision of listed companies.The findings suggest that Thai listed companies still
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
Deputy Secretary-General Tajinder Singh (second from right) to discuss international cooperation for the development and supervision of capital markets, at Hilton Hotel in Sydney Australia on 12 May 2019