investors correctly and completely and without sufficiently notifying or giving information that was important and relevant to investors’ decision making, in contravention of the Notification concerning
Bangkok, February 19, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities, particularly during the current escalating trading of securities with a high P/E ratio and under cash balance rule. SEC Secretary-General Vorapol Socatiyanurak said: ?The SEC has urged securities companies to carefully supervise their investment consultants to provide investment advice to their clients...
Bangkok, March 27, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities, particularly during the current escalating trading of securities with a high P/E ratio and under cash balance rule. SEC Secretary-General Vorapol Socatiyanurak said: ?The SEC has urged securities companies to carefully supervise their investment consultants to provide investment advice to their clients bas...
The SEC has endorsed the concept of regulatory enhancement regarding issuance and offering for sale of sustainability-themed bonds* to give opportunities for businesses of all sizes including SMEs and startups to raise fund through crowdfunding and private placement. This approach also aims to promote SMEs and startups to strengthen their adaptability and participate in business development in the realm of sustainability, which is crucial to the strategy and business operations to mitigat...
The Capital Market Supervisory Board (CMSB)’s Meeting No. 4/2021 dated 16 March 2021 passed a resolution approving in principle the regulatory revision following the cooperative plan of the BOT’s BIR program. The revision would accommodate the BOT’s market surveillance to acquire in-depth, complete, accurate and timely information on foreign bond investors’ behaviors. Such information would be useful for policy making with regard to exchange rates and financial system in an effective and t...
Approval of Appraisal Company and Lead Appraiser Contributing [Asset Evaluation] for Capital Market Transaction
?the SEC introduces ?Guidelines for shareholders? meeting?, a handbook written to provide guidelines on how to cast their votes, identify red flags and ask questions, contributing for shareholders to
strategies for biodiversity. On behalf of the SEC, Ms. Areewan Aimdilokwong, Assistant Secretary-General, reaffirmed the SEC's commitment to contributing to the drive towards promotion of financial strategies