Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the

SEC Secretary-General Ruenvadee Suwanmongkol said that the relief measure for issuers of all types of securities applies to the annual registration statement fee (annual fee) that is due in 2020

realized the importance of business preparation in this matter. For this reason, SEC is set to launch an online training under the topic of “Incident Response from the Pentester’s Eyes View” and

SEC Secretary-General Ruenvadee Suwanmongkol has announced key results from the quarterly meeting with senior executives of all securities and derivatives business operators, which took place on 25

Pursuant to the amended regulatory sandbox regulations, which will take effect on 16 August 2020, more types of businesses are eligible to participate in a regulatory sandbox, covering all

wishes to maintain the approval status, such person must take a refresher course and pay the renewal fee every two-calendar year period at the amount of 1,000 baht in case of investment consultant

SEC and the Securities and Futures Commission (SFC) are developing a bilateral agreement for cross-border fund offerings under the HK-TH MRF project with the main objective of facilitating mutual

, and venture capital firms, on 19 December 2019. Methods for fund mobilization and trading of shares of SMEs and startups on secondary markets were discussed. Conclusions from said discussion are as

SEC is proposing to amend the regulations on unitholding limitations of mutual funds. Proposed amendments include, for example, changing the methods of unitholding calculation and allowing mutual