(1992) with the duty to supervise and develop the Thai capital market to ensure efficiency, fairness, transparency and integrity. One of the SEC?s responsibilities is to monitor and enforce the
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
because the compliance unit is authorized to monitor staff operations according to the relevant rules and regulations, including complaint handling, coordination and reporting to the SEC in case of matters
Direct, Data as of 30 October 2015 Background 3 gMarket timing is one of the most popular investment technique Investors around the world have been employing /Unfortunately, average Investors often suffer
companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core business is under direct supervision of another
business is under direct supervision of another regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices
service as a direct channel for reporting investment scams and frauds. The public can call the SEC Hotline 1207, extension 22, or send whistleblowing tips or scam reports through the SEC website at