behavioral finance in issuing the regulations. For instance, the regulations governing investment consultants and investment planners making direct contact to the customers have been strengthened by requiring

The SEC Management introduces the new look of corporate website www.sec.or.th, featuring multi-device accessibility as well as more user-friendly experience for the public, investors and regulated

enforce the application of high quality accounting and auditing standards. As the SEC has direct responsibility over a supervision of the auditors of securities issuers and entities under the SEC

enforce the application of high quality accounting and auditing standards. As the SEC has direct responsibility over a supervision of the auditors of securities issuers and entities under the SEC

application of high quality accounting and auditing standards. As the SEC has direct responsibility over a supervision of the auditors of securities issuers and entities under the SEC supervision (i.e., listed

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

violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction

and regulated by the Financial Conduct Authority and the Prudential Regulation Authority; Spain: Credit Suisse Bank (Europe), S.A. regulated by the Comision Nacional del Mercado de Valores; Germany

awareness of the importance of cybersecurity plan, work system stability and data protection. Co-organized by the SEC and the regulated entities, the cyber drill activities were conducted by experts from the

approval of the listing and trading of spot bitcoin ETFs and solicitations made by some Thai brokerage firms for investors’ direct investment in such ETFs. The Securities and Exchange Commission, Thailand