The Securities and Exchange Commission (SEC), in collaboration with the Bank of Thailand (BOT), the Office of Insurance Commission (OIC) and the Thai Bankers’ Association, organized the Financial
The Securities and Exchange Commission (SEC), in collaboration with the Faculty of Law, Chulalongkorn University, organized a workshop on Human Rights Due Diligence (HRDD) under the Business and
, through the SEC’s communication channels and mass media, in the forms of infographics, articles, as well as educational seminars organized in cooperation with related agencies. In carrying out investor
business license, Sor-1 type, for failure to maintain the required qualifications, effective 24 July 2023.The SEC is responsible for ensuring derivatives business operators’ compliance with the applicable
within the specified time. The aforementioned activities of {X1} is liable to operating digital asset business in the category of digital asset exchange without license, which is a violation of, or
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
Bangkok, April 4, 2011 - The SEC Board at its meeting No. 4/2011 today has approved the issuance of new license for undertaking brokerage business limited to precious metals derivatives covering gold
บลจ. นำคำแนะนำไปเผยแพร่ต่อผู้ลงทุนรายอื่น ถือว่าเข้าข้อยกเว้นที่ไม่ต้องขอ IA License (ประกาศที่ กธ. 1/2560) หรือไม่ คำตอบ : การให้คำแนะนำเฉพาะแก่ผู้ลงทุน
แต่มีปัญหาเกี่ยวกับระบบงานบกพร่อง จะถูกจำกัดให้ไม่สามารถขอเริ่มประกอบธุรกิจหลักทรัพย์ประเภทอื่น (activate license) ที่กำหนดในใบอนุญาตด้วยหรือไม่ คำตอบ : ผู้