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amending existing laws and regulations that are no longer necessary or in line with current circumstances, or that impose a burden on the public. This initiative focuses on a quick, transparent, cost

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10285

SEC reveals the actions taken under the authority in STARK case

rigorously perform their duties according to the laws and terms and conditions of the bonds, taking into consideration the bondholders’ interest._____________________Remarks:SEC News Release No. 80/2023 “SEC

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10559

SEC penalizes a former investment consultant for 10 years due to misappropriation of clients’ money

prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8152

SEC penalizes an investment consultant for wrongful acts against investors’ assets

(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8071

SEC penalizes an investment consultant for non-compliance with an investor’ order

Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the Notification of the Capital Market Supervisory Board No

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8077

SEC suspends two investment consultant and investment planner for performing duties without loyalty, causing damage to investors

Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the Notification of the Capital Market Supervisory Board No. Tor

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8080

SEC penalizes an investment consultant for accepting an investor’s assignment to make trading decisions and fabricating that certain trading orders are sent by the investor

business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014, as amended by the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8167

SEC announces CMSB’s approval for establishment of high yield bond funds in support of issuers affected by COVID-19

On 9 July 2020, the CMSB Meeting No. 13/2563, chaired by SEC Secretary-General Ruenvadee Suwanmongkol, passed a resolution approving the regulations related to the establishment of high yield bond

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8266

SEC suspends an investment consultant for accepting the assignment to make securities trading decisions for an investor

. _____________________________* Clause 23(2) and the prohibited characteristics of capital market personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7413

SEC suspends an investment consultant for failing to comply with a client’s instruction

. _____________________________Remark: * Clause 23(2) and deemed to be the prohibited characteristic of the personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7394