With this manual as guidance, it is expected that the business operators will accordingly review their risk management policies and procedures and report the results to the SEC as part of their 2024 annual compliance reports. In this front, reporting of any non-application or unfinished application of the recommended guidelines shall be accompanied by the explanation of the associated reasons, as an additional report, which is approved by the company’s board or audit committee. The SEC is...

December 2024 remains a business day for securities companies and derivatives business operators. This adjustment aligns with the holiday schedule of financial institutions and prevents undue cost burdens on

The Securities and Exchange Commission (SEC), in collaboration with the Stock Exchange of Thailand (SET), organized a seminar titled "Three Lines of Defense for Listed Companies" under the

Bangkok, 25 July 2023 – The Securities and Exchange Commission (SEC) has announced the 2024 holiday schedule for securities companies and derivatives business operators, as follows:   1.  Monday 1

In the past, proposing of agenda items by shareholders of listed companies and proxy soliciting have been carried out differently for each company and for soliciting person as there is no common

SEC Secretary-General Ruenvadee Suwanmongkol announced that SEC has issued a measure allowing asset management companies to borrow money or enter into a repurchase transaction agreement to better

Listed companies may postpone the AGM holding based on their discretion; however, a written clarification of the reason for the postponement must be submitted to the registrar on a case-by-case

Board’s Meeting No. 3/2563 held on 3 March 2020 chaired by SEC Secretary-General Ruenvadee Suwanmongkol, the Meeting has considered the guidelines for enhancing the securities companies’ capability and

Pursuant to the Notification concerning Determination of Fees for Filing of Registration Statement, Registration and Other Applications, as amended, the calculation of fees shall be based on the shareholders’ equity in the financial statements for the latest financial year submitted to the SEC. In the case where a company fails to submit the financial statements for the latest financial year but submits other financial statements to the SEC such as the quarterly financial statements that c...