SEC Thailand has participated in the World Investor Week campaign for five consecutive years. The SEC Thailand is continuously promoting investor education In accordance with the SEC Mission. This
The Securities and Exchange Commission (SEC) has considered it appropriate to designate 31 July 2023 as a normal business day for securities companies and derivatives business operators to prevent
) Mrs. Sasinapa Waraporn. These persons who are connected through personal relationships, financial transactions, securities trading, as well as the channels and locations used for placing orders, divided
stakeholders, information and comments from which was used in drawing up a proposal for revision of oversight of auditors and audit firms in Thai capital market, TDRI offered a detailed proposal as follows: (1
effects of COVID-19 on the company. This information could be disclosed via different channels, including financial statements, in order that investors will be informed of important information for
On 12 March 2020, the CMSB Meeting No. 4/2563, presided by SEC Secretary-General Ruenvadee Suwanmongkol, considered possible guidelines for the AGM holding of property funds, infrastructure funds
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
Bangkok, 19 March 2020 – According to the Cabinet’s resolution on 17 March 2020, approving the postponement of the public holidays during 13 -15 April 2020 to prevent and contain the spread of the novel Coronavirus (COVID-19) in the country, SEC has considered appropriate to revise the holidays of securities companies and derivatives business operators and, therefore, announced the cancellation of the holidays during the above mentioned period. The substitution holiday(s) will be announce...
the group of persons above in opening trading accounts for investors to make derivatives investments. They executed trading orders in investors’ accounts, told investors to send trading orders
Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in any way. The SEC has considered that Pongsak’s misconduct of performing duties irresponsibly wit...