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Previously, the SEC revised the criteria for determining persons deemed to be major shareholders of securities and digital asset business operators (“business operators”) requiring approval, with

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=12719

SEC public hearing on drafted regulations concerning the approval process for a capital market auditor, which relate requirements for information technology governance and auditing of audit firms by

Bangkok, 12 January 2024 – The Securities and Exchange Commission (SEC) is seeking public comments on the proposed drafted to the regulations concerning the approval process for a capital market

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10433

SEC extends deadlines for completing training courses and renewal of approval for personnel in the capital market business until 31 March 2021 to mitigate the impacts of COVID-19

deadline extension will help a lot of personnel in the capital market business whose approval will expire by the end of this year as well as other affected parties, from business operators to training

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8089

SEC public hearing on a proposed amendment to the regulations on approval of appraisal companies and lead appraisers for capital market transactions to enhance convenience and reduce burdens on the

compromising appropriate investor protection and convenience for business operation.The SEC therefore proposes to amend the regulations related to granting of approval to appraisal companies and lead

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8773

Draft Regulation Relating to the Exemption from the CMSB’s approval for Rules and Regulations of the Licensed Derivatives Exchange, the Licensed Derivatives Clearing House, the Securities Clearing

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=675

SEC announces six offenders in ABC share manipulation case consent to civil sanction

who conspired to manipulate the ABC price (as detailed in SEC News No. 59/2018, dated 7 June 2018). Of this group, one offender has already signed a statement of consent and fully paid his civil penalty

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7291

SEC files a criminal complaint against seven KC executives and associates for dishonest acts, misappropriation of B/E sale money and consent to false accounting records

Bangkok, 5 January 2018 ? The SEC has filed a criminal complaint against four former and current executives of K.C. Property Public Company Limited (KC) and three associates with the Department of Special Investigation (DSI) for jointly committing dishonest acts to misappropriate the money received from the sale of KC short-term bills of exchange (B/E) for their own interest or other persons?. The case also involves seeking unlawful gains and consenting to the omission of the B/E transaction rec...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6914