remain in good shape,? said Acting SEC Secretary-General Chalee Chantanayingyong.Regarding Thailand?s growing economy and strong performance of listed firms, investors should not be panic but make careful

Bangkok, April 10, 2014 ? The SEC is seeking public comment on relaxing a unit holding limit where any person or group of persons is allowed to hold not exceeding one-third of all units in a mutual

eliminate private fund's custodian reporting requirement as the custodian does not value the assets on mark to market basis. In order to provide investors with more accurate information on the fund's asset

eliminate private fund?s custodian reporting requirement as the custodian does not value the assets on mark to market basis. In order to provide investors with more accurate information on the fund?s asset

Bangkok, August 26, 2014 ?The SEC is seeking public comment on proposed common offering rules for new financial products not falling within a scope of any existing rules. Introducing the common rules

regulations, however, do not apply to licensed venture capital, securities inter-dealer broker and securities investment advisors. For all of the licensees subject to the regulations, they must appoint the

examinations recognized by the SEC and have work experience in preparing technical analysis researches. Also, they must not possess any prohibited characteristics of personnel in capital market. The consultation

Bangkok, March 25, 2015 ? Equity private placement deals of listed companies have been significantly increased recently while the existing rules do not cover certain circumstances that might be

found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the

other business operators within 2 years, the client will not be required to do the suitability test prior to making investment in newly issued shares, warrants or bonds. Also, the submission of client