opening ● Documents/evidence on an investment, for instance: Transfer documents such as a pay-in slip Documents / email/messages related to the application and services Advertising/solicitation documents
Roles How We Regulate SEC Working Principles Our Policies Signatory of Investment Government Code (I Code) Stakeholders in the Capital Market Our Structure The Foundation of the SEC SHARE : For More
making investment decisions with confidence; being treated fairly in securities trading activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor
Governance Code (I Code) The SEC's objective in the investment management is to gain the best returns in the long term with appropriate level of risks. To achieve such a goal, the SEC believes that
with Foreign Regulators Alternative Investment Fund Managers Directive (AIFMD) International Organization of Securities Commissions (IOSCO) Established in 1983, the IOSCO is the international
information and make confident decisions on investment. The capital market is operated with fairness, efficiency and transparency. Systematic risks in the markets can be managed and contained within limits
different economies. Meanwhile, the Thai government, related government officials and SEC Thailand would continuously work on the reformation to ease the business operation and investment in Thailand, promote
different economies. Meanwhile, the Thai government, related government officials and SEC Thailand would continuously work on the reformation to ease the business operation and investment in Thailand, promote
business operators, unfair securities trading activities in the capital market. The SEC revenue comprises fee income, subsidies from the Stock Exchange of Thailand, investment revenue and others. All
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