standardized protocol for monitoring and supervision of digital asset businesses, and to reduce the necessity for case-by-case data submission. Currently, some digital asset brokers, dealers and exchanges have
securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of https://www.sec.or.th/EN
company/ person(s) under the SEC supervision; 4. Details of the complaint ( Please identify clearly ) , i.e., objective and details of the complaint, documents and other evidence, for instance, trading
Offering) with the following details (a) offered the ratio of 3.89 existing shares to 1 newly issued shares at the offering price of THB 1 per share. Any fraction of shares shall be rounded down; (b) if
Solicitation or advice on securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
: For More Information ContactUs Investment Management Supervision Department Tel. +66-2263-6076 Intermediaries Supervision Department Tel. +66-2263-6536 Was this page helpful? Yes No Comment
Important Instructions for Completing a Complaint Form Matters under the SEC supervision 1. Matters under the SEC supervision in accordance with the governing laws. For example: · approved securities
with international standards 2. Auditor supervision 3. Monitoring on financial report of entities in capital market The SEC requires preparation and disclosure of financial information in the
One Report ESG Issues AGM FAQ Capital market professionals/gatekeeper CSR Whistleblower Audit committee About us Overview Detail Content SEC Roles C oncept “Supervision” is the core