SEC Secretary-General Ruenvadee Suwanmongkol gave an opening remarks and co-chaired the 5th EU-Asia Pacific Forum on Financial Regulation with Mr. Ugo Bassi, Director of Financial Markets, DG FISMA
Bangkok, March 27, 2012 ? The SEC is seeking public comments on draft revision to regulation governing public offering of holding company. The proposed revision includes relaxation on shareholding
Bangkok, May 30, 2013 ? The SEC is seeking public comment on the revision of regulations on capital market personnel for greater prudence, appropriateness and standards in order to enhance credibility of business operators and the Thai capital market. The proposed revision will extend the scope of capital market personnel who are subject to the prohibited characteristics to those with duties that are likely to have improper behavior and have adverse impact on clients and mutual funds. The person...
companies; therefore, shareholders are not involved in the decision making regarding such transaction.The SEC therefore is proposing to amend the rules governing the execution of material transactions and
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and concealed important information which may have caused misunderstanding or distorting of the facts. As a result, the SEC will not consider her renewal application for nine months.From a client complaint of Globex Securities Co., Ltd., the SEC found from the investigation that {A}, a former capital market...