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

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

business legally under the law of home country;? -?supervised by an IOSCO member regulator; -?not having a business premise in Thailand, except through shareholding in an SEC approved local CRA; and

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision

follows: (1)      Implement a policy on fintech application at board or executives level ; (2)      Have persons understand the basic principles of technology usage;(3)      Allow fund managers or

and products, smart investment based on risk profile, basic portfolio building, how to exercise investor rights to avoid frauds and scams. There are also edutainment activities such risk-taking games

investment in all kinds of capital market products. In this regard, advices on basic asset allocation for investors are also provided.Duangmon Chuengsatiansup, SEC Assistant Secretary-General, said the SEC