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activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor compensations for damages incurred to investors in all cases. Other regulated regulators in the
achieve the national missions within the scope of assigned authority and under the related laws. Our Roles How We Regulate SEC Working Principles Our Policies Signatory of Investment Government Code (I
the country. Our Roles How We Regulate SEC Working Principles Our Policies Signatory of Investment Government Code (I Code) Stakeholders in the Capital Market Our Structure The Foundation of the SEC
will yield good returns and will effectively reinforce the SEC's financial stability Announcement of signatory Investment Governance Code (I Code)(Thai Version Only) Our Roles How We Regulate SEC
trading The Ministry of Finance had the power to regulate securities trading on the Stock Exchange of Thailand (SET) by issuing regulations or approving those drafted by the SET Board of Governors
ensures that efficient internal control is in place and the SEC operation complies with corporate governance principles. Click here to see SEC organization chart. Our Roles How We Regulate
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
capital market. The Securities and Exchange Commission (“SEC") adopts various aspects of approaches to regulate debt securities. These approaches include: Approval – issuers are required to apply for the