supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee
. KorDor. 15/2553 Re: Determination of Fees for Undertaking Business of Licensed Derivatives Exchange By virtue of Section 9(2) of the Derivatives Act B.E. 2546 (2003) which contain certain provisions
securities and consulting financial experts licensed to give professional advice is also helpful,? added Mr. Prakit. ________________________
licensed business operators on the SEC website at www.sec.or.th or through the SEC Check First application. To report suspicious activities, please contact the SEC through the SEC Public Service Center
currently more than 9,000 funds, or check whether any juristic person or person is properly licensed or approved in the capital market. By 2018 SEC aims to expand the scope of data services to be more
Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and
licensed to operate securities business in accordance with the Securities and Exchange Act of 1992. Their actions are in violation of Section 90 and liable to the penalties under Section 289, i.e
funds from overseas to make investment based on his advice for the sake of tax benefits and long-term return. The investors followed his advice but suffered loss.? Mr. Malpass was not licensed to operate
persuaders on whether or not they are licensed as the digital asset business operators on SEC list. Those who are not listed and intend to operate digital asset businesses can request SEC for licenses and
especially when being approached by someone not on the SEC approved/licensed list. For inquiries and further information on digital asset investment, call SEC Help Center Hotline 1207. “Additionally, as seen