protection of investors? interest. However, effective implementation needs cooperation from asset management companies in self-monitoring, self-regulating and reporting to the SEC on a regular basis. In any
costs on the existing platforms, for example, crowdfunding.?In promoting effective supervision, the SEC continues to focus on three areas, namely (1) regulatory discipline, (2) self-discipline of
frauds and scams as well as money laundering schemes. The list of business operators not supervised by the SEC can be checked at the “investor alert” link https://market.sec.or.th/public/idisc/th
suggests that digital asset transactions be executed through licensed digital asset business operators that are supervised by regulators to ensure that such investment is protected by law. In this regard
be properly supervised by the business providers and for a more effective supervision system to make the regulatory system more efficient and comply with international standard, such as, the right to
following Divisions and Departments: 2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General
of investor’s wealth creation and the fund raising of issuers. SEC supervised the intermediary and has collection of annual fees at the current rate for some time.SEC, therefore, has a plan to revise
sending in line application. The banking and financial sector will be affected directly. Self-adjustment must be made and new forms of business must be found to cope with this likely trend as it could
encourage active co-operation between companies and employees. Securities regulators, stock exchanges, self-regulatory organisations and investor groups should continue to educate companies and the public
Bangkok, 17 October 2023 – SEC warns the private sector to beware of the activities which may be deemed the undertaking of the SEC-supervised securities, derivatives, and digital asset businesses