SEC Search

place of trading. In addition, the regulation writing method has been simplified through the use of diagrams and tables to facilitate asset management companies’ better understanding and proper

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8954

Management Discussion and Analysis

Management Discussion and Analysis 1 Ref: AC.017/2020 18 May 2020 Subject: Management discussion and analysis of financial position and operating results To: President and Manager The Stock Exchange

https://market.sec.or.th/public/idisc/Views/Download?FILEID=dat/news/202005/20060100.pdf

Investor Alert : Pecunia Asset Management

Pecunia Asset Management : Unlicensed securities and derivatives business (Disclosure Date : 31/10/2022)

http://market.sec.or.th/public/idisc/en/Viewmore/invalert-det?CaseID=1679&CaseYY=2567

SEC teams up with financial and media allies to present a month-long series of online free seminars on financial and investment management

The seminar series will showcase a pool of knowledge and advice from certified financial planners (CFP) and experts on financial, investment and debt management. Investors and the interested public

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8108

SEC and three associations co-organize panel discussion on cybersecurity for risk management and IT audit personnel of business operators in the capital market

The Securities and Exchange Commission (SEC), in collaboration with the Information System Audit and Control Association – Bangkok Chapter (ISACA Bangkok Chapter), the Thailand Information Security

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=11835

SEC public hearing on proposed amendment to licensing rules to accommodate new securities business licenses related to equity intermediaries and private fund management

The Cabinet has passed the resolution approving in principle the draft Ministerial Regulation concerning Granting of Approval for Undertaking Securities Business, which prescribes two additional

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8100

SEC announces new licenses for equity intermediary and private fund management to promote competition and reduce costs of capital market business sector

Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8948

SEC public hearing on proposed amendments to the regulations for PVD management to enhance fund supervision in line with current situations

conditions will be applied. In addition, AMC would be required to comply with relevant regulation related to management of the remittance of funds, calculation methods, and disclosure of investment unit

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=11257

External User Accounts Management System (EXAM)

External User Accounts Management System (EXAM) ระบบบริหารจัดการบัญชีผู้ใช้งานบุคคลภายนอก External User Accounts Management System (EXAM) โปรดระบุข้อมูลด้านล่าง (Please fill in information below

https://market.sec.or.th/EXAM/EXAMLogin.ASPX?r=EXAMChangePassword

Online Fund Approval and Management System (OFAM)

Online Fund Approval and Management System (OFAM) ระบบอนุมัติจัดตั้งและจัดการกองทุน Online Fund Approval and Management System (OFAM) โปรดระบุข้อมูลด้านล่าง (Please fill in information below

https://market.sec.or.th/ofam/OFAMLogin.aspx