experiences in overseas investment. Under the proposed regulations, derivatives brokers must have infrastructure in place to render service to retail investors to trade derivatives on foreign derivatives
Bangkok, April 16, 2014 ? The SEC is seeking public comment on easing rules on derivatives investment of accredited investor funds (AI funds), where all unitholders are institutional investors or
Bangkok, January 22, 2014 - The SEC revealed that the Settlement Committee imposed a total fine of 26,665,197.12 baht on {A} as the principal, as well as {B} {C} and {D} as the aiders and
Bangkok, June 24, 2013 ? The SEC is seeking public comment on draft revisions to the rules governing establishment and management of infrastructure funds and Real Estate Investment Trusts (REITs
Bangkok, October 31, 2012 - The SEC is seeking public comment on regulation on outsourcing in securities and derivatives businesses. The proposed regulation aims to standardize the supervision on
Bangkok, October 15, 2014 ? The SEC supported Thaipat Institute in announcement on progress level assessment of Thai listed companies? anti-corruption (anti-corruption progress indicator). The
Bangkok, February 13, 2012 - The SEC is keeping close watch on the blacklist to be announced next week by Financial Action Task Force on Money Laundering (FATF), revealed SEC Secretary-General
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for
the SEC Open Data Services – to better serve the users while promoting a transparent, trustworthy and reliable capital market. The event took place in Bangkok on 28 March 2024.
practices. The event took place on 30 April 2024, at the SEC Building.