The SEC’s amended regulations related to shelf filing of ICOs and the change to the limit and total amount of funds raised from retail investors aim to increase options and flexibility for ICO filing, allowing issuers to align ICO filing with the nature of digital tokens to be offered. This initiative also aims to promote the use of technology in fundraising without compromising appropriate investor protection. The SEC conducted a public hearing on the proposed principles and draft amendments to...
Recent news reports on cyber attack on a foreign decentralized finance platform, which resulted in tremendous loss of clients’ digital assets, have raised concerns over cybersecurity. The SEC is therefore urging digital asset business operators to emphasize the importance of cybersecurity on a continuing basis and to assign a responsible entity to oversee the matter to ensure that they can provide services to investors continuously and clients’ digital assets are securely safeguarded. The SEC...
According to the findings of the SEC’s investigation, the four persons, namely (1) Miss Duangkamol Chotana, (2) Miss Nutwara Saengwarin, (3) Mr. Supoth Piansiri, and (4) Mr. Sirichai Chananam – at the time of the misconduct from 2015 to 2017 holding the positions of director and executive of NMG – made a joint decision to approve, order and arrange a recording of false advertising income in the financial statements of NMG. The evidence in this case has revealed that the NMG’s financial statem...
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) ร่วมเสวนาในหัวข้อ “Advancing Policies and Enabling Environment” ของงาน WeEmpowerAsia Virtual Forum: “Trends and Opportunities to Advance Women’s Economic Empowerment in Business” จัดโดยองค์การเพื่อการส่งเสริมความเสมอภาคระหว่างเพศและเพิ่มพลังของผู้หญิงแห่งสหประชาชาติ (UN Women) เพื่อแลกเปลี่ยนความคิดเห็นเกี่ยวกับบทบาทของภาครัฐและภาคเอกชนในการสนับสนุนความเสมอภาคทางเพศ การประกอบธุรกิจที่มีสตรีเป็นเจ้าของห...
Mr. Thawatchai Pittayasophon, acting Secretary-General of the Securities and Exchange Commission (SEC), and Deputy Secretaries-General, i.e., Mrs. Waratchya Srimachand, Ms. Jomkwan Kongsakul, and Mr. Anek Yooyuen, together with SEC executives, joined the video tape recording to commemorate the auspicious occasion of HM King Maha Vajiralongkorn Phra Vajiraklaochaoyuhua's Birthday Anniversary on 28 July 2023. The recording took place at the National Broadcasting Services of Thailand on 27 Ju...
At its meeting No.11/2563 on 19 May 2020 chaired by SEC Secretary-General Ruenvadee Suwanmongkol, the CMSB approved in principle of the amendment of rules applicable to funds and trusts which invest in real estate or infrastructure (funds and trusts) to create regulatory alignment as part of the regulatory guillotine project. The amendments are as follows:(1) Amending the rule on conducting an asset due diligence from every year after the previous due diligence to at least once in a ca...
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for TMB Bank Public Company Limited (TMB).According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had misappropriated the client’s money by forging the client’s signature, revising the client’s signific...
SEC is in the process of preparing to open up a booth at the National Children’s Day 2020 event at the Rajvithi Home for Girls on Saturday, 11 January 2020, facilitated by Ministry of Social Development and Human Security (MSDHS). The theme of the event is “Super Thai Kids Care About Saving”, under which the SEC is one of the attendants to open booths therein, where over 1,000 kids between 6-12 years are expected to attend the event. SEC Secretary-General Ruenvadee Suwanmongkol said “One...
On 9 July 2020, the CMSB Meeting No. 13/2563, chaired by SEC Secretary-General Ruenvadee Suwanmongkol, passed a resolution approving the regulations related to the establishment of high yield bond funds that will help increase liquidity and allow debt issuers affected by the COVID-19 pandemic to continue their business operation (bridge financing). This in turn will increase liquidity and stability of the high yield bond market as well as offer an alternative for high net worth investors...
committing misconduct. {B}’s act was deemed a failure to comply with the Notification of the Capital Market Supervisory Board.** SEC has therefore prohibited {B} from performing duties as branch manager in