The Securities and Exchange Commission (SEC), in collaboration with the Faculty of Law, Chulalongkorn University, organized a practical workshop for listed companies on “Human Rights Due Diligence (HRDD)” under the Business and Human Rights Project for Thailand’s Capital Market (Phase IV), in line with the United Nations Guiding Principles on Business and Human Rights (UNGPs) and the OECD Due Diligence Guidance for Responsible Business Conduct. The workshop was held in Bangkok on 26-27 March 202...
Advisor” and “Digital Asset Fund Manager” shall be two new types of digital asset business subject to SEC’s supervision. Therefore, any person who wants to conduct any of these new businesses is required to
change the chain of command to bring about more comprehensive and clear situation awareness while the executive reshuffle will also be undertaken. The restructuring will become effective as from August 1
Mrs. Pornanong Budsaratragoon, SEC Secretary-General, said: “This legislative amendment involves improvements across multiple areas, from increasing efficiency in short-selling supervision to ensure
In addition, there will be three director-level switches, namely: 1. Mrs. Sureerut Suradecha, from Director of the Sales Conduct Supervision Department to Director of the Investment Management
-compliance with the advertisement requirements may lead the SEC to instruct the issuer to revise the advertisement content to ensure that investors receive accurate, comprehensive, factual and not misleading
test to make sure that the clients understand their own risk profile and receive appropriate investment advice before making an investment or a transaction. Clear and comprehensive disclosure of
progresses in the areas of market supervision and development, such as quality enhancement of IPO issuers and listed companies, legal enforcement in various cases, and improved transparency and fairness in
the SEC and the exploration of applying these guidelines to enhance the OIC’s technology risk control supervision over regulated business operators. The event took place on 26 June 2024 at the SEC