Securities and Exchange Commission, Thailand (SEC) is a state agency established by virtue of the Securities and Exchange Act B.E. 2535 (1992), with the main duties to promote, develop and supervise the Thai
) B. Direct&Supervise&Review B Direction, supervision and review responsibilities: Firm's Reference /Guidance Notes Description 1 Has the firm established policies and procedures for direction and
(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
assets, SEC must closely monitor and supervise digital asset businesses and educate investors so that they become knowledgeable and capable of managing their own risks,” added the Finance Minister . Mr
supervise and develop the Thai capital market with the mission to assure a conducive environment for a fair, trustworthy, efficient, dynamic, and inclusive capital market. The SEC collaborates with relevant
agreement in Clause 6 within five business days as from the date of receiving such information and certification. Clause 11. Securities company shall supervise its personnel to comply with this Notification
in Clause 7(1); (2) as soon as possible in case of information as prescribed in Clause 7(2). 4 Clause 11 A securities company shall supervise its personnel to comply with this Notification, and
Securities company shall supervise service provider to perform its operation in compliance with rules prescribed by the Securities and Exchange Commission or the Office and the guidelines provided by