SEC Search

The SEC supervises intermediaries? efficiency with an emphasis on risk management, suitable business model and risk profile of each securities house.? SEC Assistant Secretary-General Paralee

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6096

SEC public hearing on sales process rules

Bangkok, April 20, 2016 ? The SEC is seeking public comments on draft amendments to the rules concerning the categorization of salespersons and sales process of capital market products to promote

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6286

SEC public hearing on trigger fund rules

Bangkok, April 21, 2016 -- The SEC is seeking public comments on draft rules concerning supervision on trigger funds and advertisement of other types of mutual funds, to be imposed on relevant

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6290

SEC hearing on REIT lending rules

Bangkok, January 7, 2016 ? The SEC is seeking public comments on a proposal for amending rules on real estate investment trust (REIT) to allow money lending to REIT subsidiaries. The proposal aims to

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6171

Public hearing on investment of funds

Bangkok, January 20, 2016 ? The SEC is seeking public comments on draft revisions to the rules concerning definition of investors and investment of mutual funds in line with international standards

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6184

Energy Absolute?s clarification on executive interview

Bangkok, January 22, 2013 ? Following the SEC?s request for a clarification of news coverage on an interview of Mr. Sompoch Ahunai, Chief Executive Officer of Energy Absolute PLC, where the financial

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4843

Public hearing on proposed REIT regulations

Bangkok, February 6, 2012 - The SEC is seeking public comments on draft regulations on Real Estate Investment Trust (REIT), which would allow companies with expertise in real estate investment and

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4401

SEC orders special audit on THL

Bangkok, November 9, 2011 ? The SEC ordered Tongkah Harbour Plc. (THL) to arrange a special audit with regard to the company?s internal control, appropriateness of connected transactions and asset management, conducted by an SEC-approved auditor working for one of the big four audit firms. The suspicious grounds for such audit are: (1) the placement of THL assets as collateral for stay of legal execution against related company, (2) high-interest rate loan agreement with related company, (3) oth...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4335

Public hearing on independent director rules

Bangkok, October 31, 2013 ? The SEC is seeking public comment on revising the rules to exempt independent directors? requirement of licensed derivatives advisors and authorized financial institutions

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5171

Regulatory approach on Initial Coin Offering (ICO)

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=468