SEC booth this year will be modernized with our reaching out approach to investors and the general public. As this year marks our 20th anniversary, it is a very special occasion for rebranding and

provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for

Bangkok, April 18, 2012 - The SEC is seeking public comments on revision of ESOP regulation to cover life-insurance agent with a view to supporting life-insurance company?s human resource management

Bangkok, July 3, 2012 ? SEC Secretary-General Vorapol Socatiyanurak revealed after a Q2/2012 meeting with the Association of Thai Securities Companies (ASCO) that the SEC and ASCO agreed on quality

the Securities and Exchange Act B.E. 2535 (1992) in conjunction with Section 83 and Section 86 of the Penal Code. The public prosecutor subsequently filed the case with the Criminal Court against {A

underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of

gold futures, due to the cancellation of such license, will be upgraded to the precious metals derivatives license which will enable them to operate business in a wider range. The SEC Board, with the

a criminal complaint against Wichai with the Department of Special Investigation (DSI) for allegedly misappropriating 179.6 million baht worth of Nippon Pack (Thailand) Plc. (NIPPON) assets

succeed without having efficient internal units comprising (1) company secretary having duty to monitor the company and its executives to comply with laws and keeping important information, (2) internal

Bangkok, April 28, 2014 ? The SEC is seeking public comment on the use of trust as a means for fund raising and investment in overseas infrastructure projects or ?infrastructure trust? with a view to