latest digital tools developed in-house for investors and the public. SEC Check First is Thailand’s first mobile application for searching products, persons and intermediaries approved or licensed by the
urges investors wishing to invest in derivatives to deal with licensed companies only for proper legal protection. The licensee list can be viewed at the SEC website - www.sec.or.th. In case of
cases, none of the aforementioned entities had been licensed to operate securities business. Hence, their actions were in violation of Section 90 and liable to penalties under Section 289 of the
solicitor to ensure proper legal protection, regardless of how tempting the offer seems. List of licensees is available at the SEC?s website (www.sec.or.th) while list of those not licensed by the SEC can be
must be offered for sale through intermidiaries licensed to undertake securities business such as securities companies or finanicial institutions.? Meanwhile, the SEC has relaxed certain rules on short
embeded and must be offered for sale through intermidiaries licensed to undertake securities business such as securities companies or finanicial institutions.? Meanwhile, the SEC has relaxed certain rules
Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means
Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means director, manager