asset management firms, and revises regulations governing advertisement of financial products to prevent improper distraction or solicitation that may cause investors to misunderstand the true objective
increase engagement and representation of a broader range of market participants such as investment management companies, listed firms, institutions or associations whose main focuses are investor education
-corruption Progress Indicators record shows a continued progress across the board. For example, in 2014, the majority or 29.10 percent of the listed firms were ranked at Level 2, which indicates declaration of
response to reduction of protected deposit amount by the Deposit Protection Agency and to provide more investment alternatives for the fund by allowing investment in sukuk and Islamic deposit. 1. Revisions
audit firms in the capital market, requesting their cooperation in giving more importance to a strict audit quality control system with regard to protection of clients’ confidentiality. The SEC will
bank level and system-wide to ensure that customers and stakeholders are efficiently protected from this risk. 3. Non-Conventional Competitor Risk Given the proliferation of technologies that has shaped
unlicensed DA business operators; otherwise, they will not be legally protected and will be at risk of being scammed, as well as facing money laundering risks. The list of licensed business operators is
operators, as they may not be protected by the governing laws and may fall victim to frauds and scams. The list of SEC licensed and approved business operators and personnel can be checked at www.sec.or.th
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
Businesses as well as foreign digital asset business operators because such engagements with unlicensed business operators are not legally protected and may be exposed to the risk of scams,” added Secretary