สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานสัมมนา Compliance Meeting หัวข้อ “Strengthen Self-Regulate กำกับดูแลตนเองอย่างเท่าทัน” ให้แก่เจ้าหน้าที่ดูแลการปฏิบัติงานด้านหลัก

offering and to strengthen proper investor protection mechanisms. Pursuant to the amended regulations, investors’ rights will be protected fairly according to the characteristics, forms and risks of the

Reporting Reform, said ?the AARG has done exemplary work to promote regional knowledge sharing in the challenging area of audit regulation. We seek to support its efforts to raise audit quality and strengthen

Bangkok, February 1, 2013 ? The SEC, in cooperation with the Association of Thai Securities Companies (ASCO), has urged securities companies to strengthen their Know-Your-Customer/Customer Due

rapid technological developments and increasingly complex financial behaviors, the SEC, together with relevant agencies and the private sector, recognizes the need to further strengthen and broaden KYC

Earlier, the Civil Sanction Committee (CSC) resolved to impose civil sanctions on six offenders* in the case of manipulating the BM share price, requiring them to make the total payment of 8,001,949 baht (consisting of civil monetary penalties, compensations for the benefits received or would have been received, and the reimbursements of investigative expenses incurred by the SEC) and prohibiting them from trading securities or derivatives for a period of six months or 11 months each (as the cas...

In this workshop, the SEC, the TDO, and digital asset business operators joined forces with relevant agencies including the Bank of Thailand, the Cyber Crime Investigation Bureau, the Central Investigation Bureau, the Anti-Money Laundering Office, and the Thai Bankers’ Association, to establish additional measures and industry standards to address the issue of victims' funds being transferred through digital asset mule accounts. Moreover, individuals identified as mule account holders will face...

operational strategies, aiming to reduce obstacles and enhance business operations to strengthen confidence in the Thai capital market. The meeting was held at the SEC Building on 21 December 2023.Mrs

Thai ESG funds and strengthen the fiduciary duty of asset management companies (AMCs) to ensure responsible investment.  Mrs. Pornanong Budsaratragoon, SEC Secretary-General, said: “The Capital Market

The SEC has reviewed the existing criteria governing liquidity risk management tools for mutual funds and has also studied regulatory approaches adopted in other jurisdictions. The SEC is of the view that greater flexibility in fund management, together with clearer disclosure requirements, would be appropriate and consistent with the evolving operational context of mutual funds. Accordingly, the SEC proposes revisions to the relevant criteria, the key elements of which are summarized as follows...