more diverse investment choices while ensuring an appropriate level of protection. Additionally, it serves as a mechanism for supporting investments in businesses that prioritize sustainability

Bangkok, November 7, 2006 ? The SEC has issued seven administrative orders today ? one suspension and six probations ? against investor contacts involved in unregulated loans for securities trading of their clients. The suspension from the role of investor contact is imposed on Tawatchai Rossanakarn for a period of two years on account of participating in unregulated loans to facilitate his clients? securities buying and money transfers between the lenders and the borrowers. In addition,...

. Among several capital market related issues discussed at the meeting, three critical ones were deemed to have significant impacts on developing countries including Thailand. They are: 1. US Subprime

Bangkok, August 7, 2009 ? The SEC has announced the release of 109 newly issued capital market notifications as replacement for those repealed by the amendment to the securities law. All notifications (Thai version) are now available on the SEC website at www.sec.or.th. According to the Securities and Exchange Act (No. 4) B.E. 2551 (2008) and the Derivatives Act (No. 2) B.E. 2551 (2008) which came into force last year, the Capital Market Supervisory Board (CMSB) assumed from the SEC Board the r...

business operators and organizations related to the capital markets to be aware of the importance of compliance with the Personal Data Protection Act. SEC’s suggestions in four main issues will help the

an enforcement of investors’ rights in some issues which are activities occurring outside blockchain* and are not based on the smart contract. Such activities include rent fee collection and payment

. If issues arise, investors should be able to seek remedies and solutions from protection mechanism, depending on the types of risks and the types of products and their providers. Effective investor

been submitted for consideration of the company?s board of directors but the SEC is of the opinion that such explanation was unclear and inadequate.With the reasons mentioned above and the issues raised

With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their 2024 annual compliance reports. In this front, reporting of any non-application or unfinished application of the recommended guidelines shall be accompanied by the explanation of the associated reasons, as an additional report, which is approved by the company’s board or audit committee. The SEC is...