operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring
frauds and scams as well as money laundering schemes. The list of business operators not supervised by the SEC can be checked at the “investor alert” link https://market.sec.or.th/public/idisc/th
suggests that digital asset transactions be executed through licensed digital asset business operators that are supervised by regulators to ensure that such investment is protected by law. In this regard
be properly supervised by the business providers and for a more effective supervision system to make the regulatory system more efficient and comply with international standard, such as, the right to
of investor’s wealth creation and the fund raising of issuers. SEC supervised the intermediary and has collection of annual fees at the current rate for some time.SEC, therefore, has a plan to revise
as well as licensees which cease business operations.For financial institutions supervised by other lead regulators and licensed to operate securities or derivatives businesses, such as commercial
following Divisions and Departments: 2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General
the delivery of equipment or project until this situation can be controlled. Therefore, the operations and delivered projects are delayed, resulting in the decrease of revenue in Q1– 2020. In terms of
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