investors’ decision making and self-protection against capital market frauds. The mobile app is also a convenient channel for the SEC to communicate and keep the users updated on important news and the latest
capital market as a regional financial connector for fund raising and investment. Vorapol Socatiyanurak, SEC Secretary-General said that the SEC?s 2015 strategic plan will keep continuing the efforts in the
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
last year. Selling and administrative expenses (including research and development – R&D) in Q1’19 went up 16.7% from Q1’18 and keep close to Q4’18 due to the R&D and sales force invested in order to
Secretary-General said that the SEC?s 2015 strategic plan will keep continuing the efforts in the previous years and be more responsive to global megatrends and the implications to the capital market in the
digital asset businesses to enhance investor protection The SEC’s policy is to strengthen the oversight of digital asset business operators with a focus on continued quality development and investor
maintaining high grade. (1) New Principles for the SEC: 9 Principles - The SEC received Fully Implemented for 8 out of 9 Principles, including systemic risk management, regulatory perimeter review to keep
maintaining high grade. (1) New Principles for the SEC: 9 Principles - The SEC received Fully Implemented for 8 out of 9 Principles, including systemic risk management, regulatory perimeter review to keep
world, has enhanced the SEC’s ability to cooperate and request information from other jurisdictions, which will ultimately enhance the SEC’s enforcement capabilities. This reflects SEC’s continued
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for