allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for

without intermediaries, including links for checking definitions under the law on digital asset business operation.The next topic is “Knowing Us.” Under this topic, a checklist is provided for investors

The SEC will issue further regulations to revise the report submission of securities companies, derivatives intermediaries and trustees. In this regard, all reporting data will be reviewed

of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment

enhance trustworthiness as well as efficiency and competitiveness of intermediaries and the overall market. The three-year strategic plan gives more weight to practical rules and regulations developed from

rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration process in line with the current economic environment, international standards and relevant laws

สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 21 September 2023 20:06 ​ ​ Funds/Trust Intermediaries Finance & Products Digital Asset Investors Office operation Important statistics

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, products, mutual funds, listed companies, mergers, intermediaries business operators, auditors, financial advisors, various litigations, licensed and registered persons including mutual funds information

appropriate amount of paid-up registered capital by taking into account the nature of business and associated risks can lighten the burdens of intermediaries, especially small-sized securities companies or