September 2013, the SEC Office hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 October 2015. Clause 2 The following Notifications shall be repealed: (1

Business Clause 13 Personnel in the capital market business shall be persons who [i] have ability and work experience and [ii] attend training courses or pass the examination of courses provided by the SEC

Bangkok, August 20, 2012 ? The SEC revealed that examination on quality assurance of audit firms showed satisfactory result after the issuance of regulation requiring all auditors of companies in the

Transactions, B.E. 2546 (2003) (including the amendments thereof) (the “Notifications on Connected Transactions”). The approval from the shareholders’ meeting on the entering into the connected transaction is

An examination on the provision of Zipup/ZipUp+ services, which offer returns in the form of bonus reward for users of Z Wallet on the digital asset exchange of Zipmex Thailand, showed that the

examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for

[3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and

for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst

for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst

3 of Derivatives Act B.E. 2546 (2003) and the notifications of the SEC related to additional determination of type of juristic person classified as institutional investor. (4) “derivatives exchange