Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices SHARE : For More Information ContactUs Digital Asset Supervision Department dalicense@sec.or.th
inspection responsibilities to increase the efficiency of supervision over intermediaries. The Financial Literacy Department was established to expedite efforts in this area. The strategic location at the
and adjustment of unsecured personal loan providers after measures for controlling credit card and personal loan under supervision of the Bank of Thailand came into force September 1, 2017. Focus should
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The supervision of
Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The supervision of securities
as follows; (1) Fast Track: auditors who a) are under supervision by an audit oversight authority that has same auditor oversight standard as that of the SEC, and b) have experience in auditing and
supervision and surveillance. In addition, all activities are subject to checks and balances as well as examination in a timely and appropriate manner. Another major mission that has become a national agenda
large part consistent with the SEC’s Strategic Plan and policy since the SEC is a major driver of the Master Plan. In this past year, the SEC has been active in imposing rigorous supervision/enforcement
Market and create confidence for investors, the SEC closely monitors and inspects individuals and entities under its supervision. To ensure investors have adequate protection and receive accurate and