bigger than that of SME pursuant to the Law on SME Promotion (for example, a company with revenue more than 300 million baht in the trading and service businesses) are eligible to raise fund by issuing and

To avoid disruption to economic activities as securities companies and derivatives business operators are key intermediaries for providing investment services to businesses and the public, the SEC

Bangkok, 8 August 2023 – The SEC has revealed the imposition of civil sanctions on two offenders, namely (1) Miss Laksana Supsakorn and (2) Mr. Sommart Dhupchinda for purchasing shares of the Tipco

aim to strengthen supervision on capital market business operation. Lessons learned from both organizations’ experience on cases with widespread impacts on the stakeholders were also shared for

The SEC, at the meeting No. 11/2022 on 15 August 2023, resolved to approve the principles for revising the net capital rules* specifically on the use of subordinated liabilities in maintaining net

Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading

On 3 August 2023, the SEC Board Meeting No. 12/2023 passed a resolution approving the principles and draft regulations related to application for approval and granting of approval for derivatives

Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's

 Bangkok, September 18, 2014 ? The SEC imposed additional requirements on new principle valuers for transactions in capital market that they must pass examination and be interviewed by the SEC. The

, morality and ethics, which will be useful for the fourth and fifth-year reserve officer training cops students to live their lives and do their work in the future. The SEC officials will give lectures on