Bangkok, 8 August 2023 – The SEC has revealed the imposition of civil sanctions on two offenders, namely (1) Miss Laksana Supsakorn and (2) Mr. Sommart Dhupchinda for purchasing shares of the Tipco
Mr. Thawatchai Pittayasophon, Deputy Secretary-General and acting Secretary-General of the Securities and Exchange Commission (SEC), and Ms. Archinee Pattamasukhon, SEC Assistant Secretary-General
Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading
access to investment-related information. To fulfill this mission, the SEC developed the "Mutual Funds Insight" microsite to serve as a center of knowledge, services, and tools related to mutual fund
According to the SEC’s public hearing in the fourth quarter of 2022, the majority of respondents expressed support for the proposed principles and draft regulations, and some also suggested that the
On 3 August 2023, the SEC Board Meeting No. 12/2023 passed a resolution approving the principles and draft regulations related to application for approval and granting of approval for derivatives
, including foreign digital asset business operators, were soliciting the public to make investments with, or use services of, such unlicensed entities at a financial technology exhibition held at a shopping
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) พร้อมด้วยผู้บริหาร ก.ล.ต. เข้าร่วมการประชุม “Lord Mayor of London Virtual Roundtable with Thai
Bangkok, September 1, 2014 ? The SEC is seeking public comment on amendments to the Securities and Exchange Act B.E. 2535 (1992) to support the establishment of self-regulatory organizations (SROs
?Bangkok, August 4, 2014 ? The SEC will allow commercial banks to offer for sale to retail investors, Basel III tier 2 instruments with condition of conversion to equity and specified floor