of the SEC’ s operation 1 2 3 4 5 6 1. Supervision of Securities Business 3/10 • For flexibility of securities business supervision and supporting Financial Technology • To promote development and

development of innovations and financial technologies, as well as to promote the competitiveness and growth of the Thai capital market. In this regard, the enactment of this Act complies with the conditions

entity established in any other forms as specified in the notification of the SEC. "securities company" means any company, or financial institution licensed to undertake securities business under this Act

other forms as specified in the notification of the SEC. 4 indicated amendment by the Securities and Exchange Act (No. 4) B.E. 2551 3 "securities company" means any company, or financial institution

Commission hereby referred to as the "SEC" shall be established, comprising the Chairman appointed by the Cabinet upon the recommendation of the Minister of Finance, the Governor of the Bank of Thailand, the

under this Royal Enactment have the characterization of those of finance or credit foncier businesses, the special purpose juristic person shall be entitled to engage in those operations without a license

part. SECTION 33/2 In case of an offering for sale of newly issued securities in the category specified in the notification of the SEC whereby the return of such securities depends on the financial

Decree. Section 4. The Minister of Finance shall be responsible for the execution of this Emergency decree. Chapter 1 General Section 5. The SEC shall have the following powers and duties under this

Minister of Finance shall be responsible for the execution of this Emergency decree. Chapter 1 General Section 5. [footnoteRef:3] The SEC shall have the following powers and duties under this Emergency

Minister of Finance shall be in charge of this Act and shall have the power to issue notifications and appoint competent officials to perform duties under this Act. Such notifications shall come into force