- present Securities and Exchange Commission, in various position and roles including securities offering, mergers and acquisition, corporate governance, enforcement, legal, investor education, internal
Implemented or above for 35 out of 37 Principles. Such notable progress can be summarized into three main groups: (1) New Principles for the SEC, (2) Principles with significant improvements, and (3) Principles
retail investor education and financial literacy, and to advise the IOSCO Board on emerging retail investor protection matters. As the Thai capital market is dominated by retail investors, the SEC has
the list of licensed securities companies, please click SEC Check First . For the list of companies / websites liable to undertaking securities business without license, please click Investor Alert
, the highly active market in 1987 drew in short-term speculation that led to unfair market practice amidst inefficient investor protection. To address the aforesaid issues, the Securities and Exchange
Minority Investors have shown a progress from the previous year. This is because, apart from the existing strict provisions on minority investors protection, more efforts are given to legal amendment to
the clarification of the person(s) against whom the complaint is filed, and whether an explanation is sufficient for further legal proceeding; ● In case of a dispute between an investor and an