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
Consideration of Regulations on Supervision of Business and Market Intermediaries, Sales Conduct and Provision of Investment Advice Member of the Sub-committee on Consideration of Regulations on Issuance and
Supervision of Business and Market Intermediaries , Sales Conduct and Provision of Investment Advice Experiences Independent Director, Audit Committee Member, and Corporate Governance Committee Member
businesses and entities in the Thai capital market. Our services include provision of information and advice on matters under the SEC's purview. Complaints / Whistleblowers Inquiries / Suggestions
Help Center is a one-stop service center for public inquiries and complaints pertaining to licensed businesses and entities in the Thai capital market. Our services include provision of information and
Regulations for Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency (Codified) Starting Date เหลืออีก 8 วัน 29/08/2023 28/09/2023 Hearing Documents
Mutual Fund Management B.E. 2545 (As amended) By virtue of Section 7 and the fourth paragraph of Section 90 of the Securities and Exchange Act B.E. 2535, which is an Act containing provision in relation
containing provision in relation to restrictions of rights and liberties of persons, in respect of which Section 29, in conjunction with Section 35, Section 36, Section 45, Section 48 and Section 50 of the
virtue of Section 7 and the fourth paragraph of Section 90 of the Securities and Exchange Act B.E. 2535, which is an Act containing provision in relation to restrictions of rights and liberties of persons
provision of Class Action in the Thai legal system results from the endeavor of the Securities and Exchange Commission, Thailand (“SEC") to resolve the problem that the damaged investors could not get