SEC Secretary-General Ruenvadee Suwanmongkol said in the seminar “Prepare Thai Capital Market towards KYC in the Digital Age”, which SEC had held on 22 May 2019, that although technology had become an important factor for stocks and mutual funds investment in recent times, but opening a trading account, which is the first step towards the services in the capital market, still takes a long time because most of the license entities still use the same method taking about 5 to 7 days until th...

Bangkok, February 15, 2012 ? The SEC has revoked approval for Maris Tarab and Burim Chombhubol as fund manager and prohibited them from re-entering the industry for 10 years, starting from February 14, 2012.  The sanctions followed the SEC findings that the said persons mismanaged T.U. Dome Residential Complex Property Fund (T.U. Dome) severely, causing substantial damage to the fund and the unitholders. Maris and Burim, who were T.U. Dome fund managers during 2006-2009 and 2008-2009 respectivel...

The ASEAN CIS Framework is an initiative under the regional capital markets integration plan endorsed by the ASEAN Finance Ministers in 2009 to facilitate cross-border product access and fund distribution for investors and issuers respectively. The framework enables fund managers operating in a member jurisdiction to offer a CIS constituted and authorised in that jurisdiction to retail investors in other member jurisdictions under a streamlined authorisation process. The Supplemental MoU t...

needed for its business model. This approach could support future entry of all types of securities businesses and increase the number of intermediaries who could render more convenient services to

different intermediaries. Such repetitive filing causes inconvenience and higher cost of accessing different capital market services from different intermediaries. This current practice may also affect the

of Intellectual Property as a Tool for Accessing Funding Sources” at the signing ceremony of the Memorandum of Understanding for the Development of Platforms to Support the Use of Intellectual

national economy. One of the subordinate plans is to provide opportunities for SMEs to access financial services, including new types of funding sources, and to develop channels for accessing new types of

of listed companies, as well as other policy directions that would help reduce challenges to accessing capital sources and carrying out the responsibilities of listed companies. The goal is to ensure

etc. 3. Table summarizing financial status and performance of IPO shares, before and after getting listed on the Exchange.  Further information as well as instructions for accessing the “IPO Fact Figure

burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for