statement / annual report (Form 56-1 One Report). This is to ensure that investors can access material information that is accurate and sufficient for investment decision making. In any case, the SEC
operating crowdfunding portals. The supervised areas include measures and implementation against conflicts of interest, member data storage, disclosure of issuer information, issuer compliance monitoring
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
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
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
SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 Settlement
TTCL Public Company Limited TTCL Public Company Limited (“TTCL”) had a duty to prepare and submit the accurate financial statement for Q1 year 2020 in accordance with the notification of the
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