frauds and scams as well as money laundering schemes. The list of business operators not supervised by the SEC can be checked at the “investor alert” link https://market.sec.or.th/public/idisc/th
Market Supervisory Board No. Tor Thor. 30/2559 Re: Rules for Operation of Derivatives Exchange By virtue of Section 55 and Section 73 of the Derivatives Act B.E. 2546 (2003), the Capital Market Supervisory
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
following Divisions and Departments: 2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General
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
Office of the Securities and Exchange Commission No. SorThor. 50/2549 Re: Rules on Waiver for Appointment of Independent Director of Derivatives Broker _____________ By virtue of the second paragraph of
). He obtained the material non- public information by virtue of his positions before such information became public on November 23, 2012. SEC Act S.241 Settlement Committee Meeting No. 4/2014
work systems, causing the company to fail to operate its business in compliance with the governing regulations. Therefore, on 19 March 2021, by virtue of Section 35 Paragraph 1 of the Emergency Decree
accounts in such a way as to take advantage of other persons by using material non-public information concerning the business operation of CMO for Q 2/2012 that he obtained by virtue of his positions before
issued and allocated to existing shareholders for free that he obtained by virtue of his positions before such information became public on September 14, 2012. SEC Act S.241 Settlement Committee Meeting