-operation and the Exchange of Information (IOSCO MMoU), which helps to enhance preventive and deterrence measures of illegal practices in securities and derivatives markets. - enforcement authority and
formulated the SEC Strategic Plan for 2024 – 2026 to set the direction for the supervision and development of the Thai capital market in order to enhance confidence and sustainability within the nation. The
world, has enhanced the SEC’s ability to cooperate and request information from other jurisdictions, which will ultimately enhance the SEC’s enforcement capabilities. This reflects SEC’s continued
Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full
systems that may cause damage to investment, fund management inconsistent with prospectus, and incorrect disclosure of information; Stock loss from a trading account, failure of investment consultants
establishment, market development had concentrated more on the secondary market where trading of transferable securities was the main activity than the budding primary market where businesses issued securities
, supervise the capital market, for example, fund mobilization, products and services, related business operators, unfair securities trading activities in the capital market. The SEC revenue comprises fee
services problem Foreign currency/foreign currency transaction Financial Consumer Protection Center (FCC) The Bank of Thailand Telephone: 1213 Website: www.1213.or.th ● Trading signs of listed company
accommodate fluctuations; and supported for development of professional standards. Investors Accessing to information and making investment decisions with confidence; being treated fairly in securities trading