Corporate Finance 33 Broker-Dealer 36 Asset Management 43 Investment Adviser 48 Enforcement 53 Market 57 International Cooperation 60 Corporate Affairs Appendices 63 Capital Market Performance 2002-2004 69
on Appointment of Selling Agent to Increase Securities Distribution Channels ● Investor Education Program 31 GOAL 2 Promote and Develop Mechanism to Empower Investors ● Promotion of Good Corporate
85 87 88 102 102 103 Total staff: 422 2 Broker-Dealer Supervision Dept. 36 staff Market Supervision Dept. 9 staff Supervision Dept. 43 staff Supervision Dept. 29 staff Securities Business Senior
. . . . . . . . Capital Market Development Group • responsible for monitoring innovation in global capital markets as well as conducting research on various aspects of the Thai capital market for the SEC’s policy and
Structure Investment Management Supervision Dept. 44 staff Broker-Dealer Supervision Dept. 43 staff Investment Advisor Supervision Dept. 32 staff Research Dept. 26 staff Corporate Affairs Dept. 24 staff
stakeholders (ITA Project). ✓ ✓ ✓ SEC Press Releases ✓ ✓ ✓ Outsourcing of various projects, for example, EIM Project ✓ www.smarttoinvest.com www.จัดการเงินเป็น.com www.เสี่ยงสูง.com www.retirement-checkup.com
and voluntary codes, and various authorities such as Ministries of Justice, Securities Regulators and Central Banks, stock exchanges and private sector institutions including institutes of directors
suspension of Zipmex services as digital asset exchange and digital asset broker On 12 January 2024, pursuant to Section 35, Paragraph 1, of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018
(Newest) Date (Oldest) SEC orders temporary suspension of Zipmex services as digital asset exchange and digital asset broker On 12 January 2024, pursuant to Section 35, Paragraph 1, of the Emergency Decree
suspension of Zipmex services as digital asset exchange and digital asset broker On 12 January 2024, pursuant to Section 35, Paragraph 1, of the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018