According to the findings after a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, the offenders were divided into two groups, with details as follows
SEC Deputy Secretary-General Tipsuda Thavaramara said: "Capital market and financial technology are advancing fast, pushing securities businesses to increasingly diversify their operation and
Bangkok, May 22, 2012 ? The SEC extended the submission period of Professional Waste Technology Plc. ("PRO") financial statements for 2011 and Q1/2012 to May 31, 2012. Previously, the SEC directed
high net worth individual only. To widen investors? investment choices of increasing return or creating variety and complexity of investment strategy, the AI funds will be allowed to invest in
Bangkok, May 29, 2014 ? The SEC is seeking public comment on 2 draft notifications to facilitate offering of mutual funds set up by Thai investment management companies under the ASEAN Collective
Bangkok, August 15, 2014 ? The SEC is seeking public comment on draft capital requirement rules applicable to securities companies being unable to maintain adequate net capital as prescribed
Bangkok, January 15, 2014 ? The SEC is seeking public comment on proposed revision to the rules of capital requirements for securities and derivatives investment advisors (IA) as well as brokers
Bangkok, June 21, 2013 ? The SEC is seeking public comment on a draft revision to the rules governing preparation of financial statements, financial reports, and operating results of securities
will be allowed to make investment without individual investment limit, similar to institutional investor, venture capital business, and private equity trust. Qualified /angel investor will be defined