The Securities and Exchange Commission (SEC) organized the Campaign on Campus Initiative under the theme, "The Path to a Million: Investment Portfolios in the AI Era." The campaign aimed to equip Thammasat University students with financial and investment knowledge, preparing them to become capable investors in the future.The event featured expert speakers who provided insightful lectures and inspired participants to begin their investment journeys. Key topics included “Three Keys Factors of Val...
The Securities and Exchange Commission (SEC), in collaboration with representatives from the National Saving Fund (NSF), provided financial literacy lectures titled “Saving and Welfare for Thais and Investment for Gen Z” to approximately 500 students at Suan Sunandha Rajabhat University, Nakhon Pathom Campus. The session focused on the “Three Knows” (Know Oneself, Know Others, and Know Own Risks), the 5 Don’ts of Investment, and key information to review before making investment decisions. The e...
The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with the Fiscal Policy Office (FPO), the Deposit Protection Agency (DPA), and the Bank of Thailand (BOT), organized financial and investment lectures for the public under the topic, “Protecting Thai Finances in the Digital Era.” The event aimed to enhance public awareness on financial management, investment strategies, and investment scams for approximately 120 government offici...
Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar
Zipmex Company Limited During the middle of 2020 to September 7, 2022, Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, did not provide management
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system
Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021