persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the
As information-consuming behavior has shifted as a result of technology, presenting information via crowdsourcing has been widely spreading. Therefore, SEC has had an idea to waive the supervision
obligation is performed by trust managers. However, trusts are listed securities on the Stock Exchange of Thailand; SEC therefore requires them to disclose information in the same way as securities issuing
Complex Type 2 Investment Consultant
Complex Type 2 Investment Consultant
Representative in ACMF member countries SEC Thailand 5 5 An eligible professional from a Recognised ACMF member country, who wishes to undertake capital market activity as specified in the Handbook on ACMF Pass
according to policies agreed upon with customers. This could be an alternative for investors, aside from securities investment.Previously, SEC has been notified about false incentives to lure people to
, increasing competition, change of behavioural patterns, and changing demands of fundraisers, business operators and investors. As the capital market regulator, the SEC must adjust to these changes without
raise the awareness of the importance of educating and protecting investors. The SEC is delighted to join this international campaign because we share the same objective as reflected in our continuing
investment, and the Foreign Affairs Masterplan regarding promotion of Thailand’s proactive role as a key player on global forums and international cooperation. The SEC submitted the hosting proposal to