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

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

Bangkok, July 23, 2015 ? The SEC has announced organizational restructuring to be more responsive to needs of each stakeholder group. By adopting an ?end-to-end? approach, the restructuring will

CFA INSTITUTE STATEMENT ON “GUIDANCE FOR INTEGRATING ESG INFORMATION INTO EQUITY ANALYSIS AND RESEARCH REPORTS” CFA Institute commends the SEC Thailand for promoting a diligent and thorough approach

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

digital asset transactions be executed through licensed digital asset business operators that are supervised by regulators to ensure that such investment is protected by law. In this regard, digital asset

, as they may not be protected under the governing Thai laws and may fall victim to frauds and scams as well as money laundering schemes. The list of business operators not supervised by the SEC can be