following Divisions and Departments:           2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General

Bill Trade Co.,Ltd. Between 10 February and 23 April 2003, Bill Trade Co.,Ltd. with other alleged persons operated securities brokerage businesses, soliciting clients to invest in securities listed

) securities price e.g. closing price at financial year-end date, market capitalization, trade volume, and net asset value of REIT on beginning and ending date of accounting year; (3) in the case of having

Bangkok, 17 October 2023 – SEC warns the private sector to beware of the activities which may be deemed the undertaking of the SEC-supervised securities, derivatives, and digital asset businesses

business legally under the law of home country;? -?supervised by an IOSCO member regulator; -?not having a business premise in Thailand, except through shareholding in an SEC approved local CRA; and

information recording system with respect to derivatives trading, especially pre-trade information and post-trade information in order to support monitoring and examination after derivatives trading (audit

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision

trust)—may be managed by entities other than asset management companies (CIS operators). These entities are, however, supervised by foreign securities regulators that are ordinary members of IOSCO

supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace