must be filed with the DSI. Taking into account the safety of informer, a provision on anonymity of the informer is included in cases where such person prefers non-disclosure of his or her identity
publicized through telephone, leaflets, brochures, event booths at office buildings and Facebook advertisements.Such acts may be unlawful and constitute an offence of luring and offering unauthorized
@sec.or.th or telephone: 092-498-4939 any day anytime, 24 hours a day. This is the new standard of SEC complaint handling procedure to ensure proper investor protection. Investors and the public can file a
discussing with her client to fine-tune the deficit portfolio. At the end of the trading day, she notified her client via mobile telephone after working hours.Making securities trading decisions on behalf of
client of trading orders via telephone at the end of the trading day.Making securities trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market
a digital wallet management system to accommodate efficient custody of digital assets and keys* and ensure safety of clients’ assets. The regulations cover the following requirements: (1) Policy
protection for safety of his/her life and property. SEC invites public comments on the proposed witness protection measures that will be added into 4 Acts* administered by SEC. The Agency will, in addition
is available at www.sec.or.th/hearing. Stakeholders and interested parties are welcome to submit comments through the website, or telephone/facsimile at 0-2263-6033 or email: thanikul@sec.or.th. The
persons and general investors applies the same rules. In addition, the issuing companies must ensure that subscribers through any channels such as website or telephone, obtain executive summary or factsheet
cybersecurity to protect the safety of clients’ assets, and requires digital asset business operators to have cybersecurity measures in compliance with the standards specified by the SEC. Likewise, service users