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The SEC has disclosed the statistics on the reporting of investment scams in the capital market through the Investment Scam Hotline 1207, extension 22. The reporting system is also available on

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10334

SEC revises Thai ESG rules to broaden investment scope and strengthen asset management companies’ fiduciary duty for responsible investment

In this regard, the Securities and Exchange Commission (SEC) is amending the relevant regulations to support the aforementioned tax benefit measures. These amendments broaden the investment scope of

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10975

SEC suspends two investment consultant and investment planner for performing duties without loyalty, causing damage to investors

advice on derivatives investment without approval through many channels such as website, YouTube, email, phone, SMS and Line application. {A} and {B}, then investment consultants at KGI, cooperated with

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8080

SEC launches the Five Steps toward Investment Confidence project -- a new dimension of comprehensive investment care services for financial freedom

SEC Secretary-General Rapee Sucharitakul said, “previously the comprehensive provision of counselling and advisory service on investment would be limited to private wealth only while the general

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8263

SEC public hearing on proposal to relax REIT investment rules to unlock more indirect investment in real estate

SEC is holding a public hearing on the proposed amendments to the regulations governing REIT indirect investment. According to the current regulations relating to issuance and offer for sale

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8330

SEC suspends an investment consultant for trading securities without client?s order and not taping investment advices

Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5580

SEC suspends an investment consultant for failure to disclose investment risk and trading securities on behalf of clients

Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5754

SEC and CFA Institute co-host a webinar to promote capital market professionals’ integration of ESG factors into investment analysis and investment decision making

as updates on trends and the impact of changes in the industry. Also featured was a case study on integrating ESG criteria into investment analysis and investment decision making, which investment

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9109

Public hearing on proposed revisions to rules governing intermediaries for the sale of investment units and investment advisors in the capital market

Bangkok, March 12, 2013 ? The SEC is seeking public comment on proposed regulatory revisions to increase the numbers of intermediaries for the sale of investment units and investment advisors in the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4896

SEC Thailand’s Public Hearing on Draft Guideline for Sales Promotion of Investment Units of Mutual Funds of the Association of Investment Management Companies.

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=911