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SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in
developments included the setting up of a Fintech working group and the SEC announcement of support and participation in such activity along with other GEMC members. SEC Secretary-General Ruenvadee
From July to September 2023, business operators showed interest in joining the project and submitted activity reports on the promotion of financial knowledge, understanding, and skill development
From July to September 2023, business operators showed interest in joining the project and submitted activity reports on the promotion of financial knowledge, understanding, and skill development
disclose such information in a video format to better respond to investors? changing behaviors and to ensure that investors would have necessary information for making investment decisions.According to the
in various activity zones. To begin with, investment product zone introduces the capital market products including equities, debt securities, mutual funds, LTF/RMF, real estate investment trust (REIT
of Sharing Scheme for the neighboring communities. We would like to invite anybody capable of helping others to join our social sharing activity by refilling foods or daily essentials in our pantries
pay an equal civil penalty of 333,333.33 baht. In addition, since the offenses in this case are related to unfair trading activity, which is a predicate offense under the Anti-Money Laundering Act B.E