Bangkok, September 10, 2013 ? The Securities and Exchange Commission (SEC) and the Association of Investment Management Companies (AIMC) agree on introducing investment risk management guideline and

Mrs. Pornanong Budsaratragoon, SEC Secretary-General, and the management team convened a meeting with Mr. Chanin Vongkusolkit, TLCA Chairman, and the board members to discuss collaboration in developing and enhancing oversight of listed companies and strategies for preventing and suppressing inappropriate behaviors within listed companies to ensure that they would be able to raise fund from investors and have their securities listed on the Stock Exchange of Thailand (SET), while growing su...

exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of financial advisors to ensure that the aforesaid companies will be able to grow sustainably while complying

In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for

of audit quality of auditors. In preparing for the amendment proposal, SEC has assigned Thailand Development Research Institute (TDRI) to study and analyze laws and mechanisms related to supervision

Sucharitkul said “in regard to the hearing result of the supervision on ICO on securities tokens, after allowing related parties to make comments through several channels for approximately three months ending

SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019, with the objectives to ensure that assistance on portfolio advisory and program trading is made...