. This revision came as a result of the earlier round of public comments, taking place last month, on its guiding principle for setting the licensing fees.  In proposing the rule changes, the SEC took into

involving with complicated transactions, audit works need competent audit teams under quality assurance system. To lift up confidence in the Thai capital market, audit firms should place priorities on

practices. The event took place on 30 April 2024, at the SEC Building.

experiences in overseas investment. Under the proposed regulations, derivatives brokers must have infrastructure in place to render service to retail investors to trade derivatives on foreign derivatives

 Bangkok, April 16, 2014 ? The SEC is seeking public comment on easing rules on derivatives investment of accredited investor funds (AI funds), where all unitholders are institutional investors or

Bangkok, June 24, 2013 ? The SEC is seeking public comment on draft revisions to the rules governing establishment and management of infrastructure funds and Real Estate Investment Trusts (REITs

service for share subscription, for example, would be allowed to use a suitable method for account opening if they could prove that adequate safeguards against impersonation risk have been in place under

Bangkok, January 22, 2014 - The SEC revealed that the Settlement Committee imposed a total fine of 26,665,197.12 baht on {A} as the principal, as well as {B} {C} and {D} as the aiders and

Bangkok, October 31, 2012 - The SEC is seeking public comment on regulation on outsourcing in securities and derivatives businesses. The proposed regulation aims to standardize the supervision on

Bangkok, February 13, 2012 - The SEC is keeping close watch on the blacklist to be announced next week by Financial Action Task Force on Money Laundering (FATF), revealed SEC Secretary-General