Company Investment Advisory Company Derivatives Brokerage Derivatives Dealing Commercial Bank Life Insurance Company Trustee foreign juristic person / organization under digital asset business Funding
pa t i o n a t t h e r eg i ona l a nd g l oba l l e ve l s In February, June and October 2013, the SEC participated in three meetings of International Organization of Securities Commissions Committee
Since the class action law came into force in 2015, the SEC has continuously publicized the information about the law to enhance knowledge and understanding of investors and interested parties
The Securities and Futures Commission (SFC) and the Securities and Exchange Commission of Thailand (SEC) have entered into a Memorandum of Understanding (MoU) on Mutual Recognition of Funds (MRF) to
. A New Year Gift 2023 to the public, “SEC Crypto Academy” is designed as an online channel for the public to learn fundamental knowledge on digital assets, gain a better understanding of risks related
organization and worker of securities company’s. Such measure shall, at least, having measurement protecting to access internal information between organization and worker who have opportunity to know any
written with an approval of Board or Executive Board of securities company. Clause 5. Securities company shall prescribe a measure protecting internal data access between organization and worker of
. Clause 5. Securities company shall prescribe a measure protecting internal data access between organization and worker of securities company’s. Such measure shall, at least, having measurement protecting
International Organization of Securities Commission (IOSCO) and shall be a party of Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information (MMOU) in type
A-1 CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING AGENCIES THE BOARD OF THE INTERNATIONAL ORGANIZATION OF SECURITIES COMMISSIONS REVISED MARCH 2015 A-2 CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING