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On 11 May 2023, the SEC Board Meeting No. 9/2566 approved the principles for prescribing regulations concerning the application for licenses to operate securities trading center, clearing house

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10306

SEC public hearing on proposed subordinate regulations under the Emergency Decree on Special Purpose Juridic Persons for Securitization B.E. 2540 (1997)

The SPV Act grants the SEC Board the power to issue subordinate regulations regarding the criteria for defining future receivables as well as regulations regarding the criteria, conditions, and

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9987

SET, ASCO and TBA join hands with SEC, CMDF and ThaiBMA in launching the DIF Web Portal, a digital infrastructure for corporate bond issuance

, with the objective to transform capital market processes towards 100% digitalization, strengthening market competitiveness and efficiency for sustainable growth. The SEC would like to take this

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10351

SEC is amending information disclosure rules of property funds, infrastructure funds and REITs to make it easier for investors to make decision.

Earlier, SEC conducted a public hearing on the principle of understanding investment in leasehold funds and funds with revenue sharing agreements and the fund/trust disclosure of investment return. Most of the respondents expressed agreement with the principle proposed.Therefore, SEC has drafted a notification requiring asset management companies and trust managers which make a projection of investment returns must disclose the internal rate of return (IRR) to give investors information a...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8327

SEC grants deadline extension for submission and publication of annual financial statements of securities companies and derivatives business operators affected by the spread of COVID-19

deadline for the submission and publication of the annual financial statements for the period ending 31 December 2019 to 30 April 2020 by allowing securities companies and derivatives business operators

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8066

SEC grants deadline extension for submission and publication of annual financial statements of securities companies and derivatives business operators affected by the spread of COVID-19

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8067

SEC revokes approval of executive of asset management company for failing to perform duties with loyalty and professional due care, including negligence of duties

continual basis from 2015 to 2017; (2) managing private funds without taking the clients’ best interest into consideration. In so doing, he arranged for the clients to invest in a foreign fund

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8073

SEC penalizes an investment consultant for accepting an investor’s assignment to make trading decisions and fabricating that certain trading orders are sent by the investor

According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8167

SEC proposes amendments to the regulation on the fee for undertaking business of derivatives exchange to be more in line with the changing capital market landscape

Pursuant to the proposed amendments, the fee for undertaking a derivatives exchange business would be determined at the rate of 0.05 baht per contract per side for trades executed within the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8305

SEC public hearing on draft regulations on the use of single form for opening trading accounts to facilitate investors’ access to capital market investment

burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7989