At the academic seminar entitled “Investor protection mechanism and building confidence in the capital market” hosted by SEC on Wednesday 20 November 2019, experts from Australia and Malaysia took
Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, stated that SEC encourages intermediaries in the capital market, both in securities business and derivatives business, to fulfill the so-called
application for approval have been effective from 16 July 2018. The capital market intermediaries of all kinds, whether it be securities brokers, mutual fund brokers, management companies for mutual funds or
Market Supervisory Board TorNor. 31/2553 Rules, Conditions and Procedures for Establishment and Management of Property Funds for Solving Financial Institution Problems (No. 3) http://capital.sec.or.th
center for sustainability-themed financial products which is conveniently accessed by capital market participants and the public. Currently, the product information available on the platform includes
The Securities and Exchange Commission (SEC), represented by Mr. Setthapong Leelerdpong and Ms. Suppalak Akkittiwong, Senior Officers of the Capital Market Education Department, gave lectures on
held in his securities account and private funds of 6 people to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board when his aggregated holding of TIGER
therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
Number of Active Professionals Classified by Type of Companies Download data Number of Personnel perform duties in the capital market business Download data Dataset/Statistic report No. Report name Period
) Date (Oldest) Notification of Capital Market Supervisory Board TorJor. 47/2558 Regulations on Offer for Sale of Securities through Electronic System or Network (No. 2) http://capital.sec.or.th/webapp/nrs