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
enhancement for investment analysts and research, as well as securities professionals to build investor confidence and strengthen business competitiveness. The meeting also discussed certain business obstacles
Bangkok, February 12, 2013 ? The SEC encouraged the Association of Investment Management Companies (AIMC) to improve the performance calculation practice of asset management companies to be in line with international standards in performing their role of information disclosure to facilitate investors? investment decisions. SEC Secretary-General Vorapol Socatiyanurak said in the first-quarter meeting with AIMC: ?The SEC encourages the association to urge asset management companies in addition to...
From 13 February to 14 March 2024, the SEC ran a public hearing on the proposed revision to the principles for adding types of knowledge and experience of the SET Board, and the proposed flexibility for the SEC Board to add types of knowledge or experience required on candidates to be selected and appointed as members of the SET Board, as deemed appropriate to the current situation.The SEC Board has taken the respondents’ comments and suggestions into consideration to enhance clarity and approp...
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...
digital tokens (ICO Portal). ✓ ✓ ✓ ✓ ✓ Form for notifying the company secretary (Form 89/15-1 and Form 89/15-2). ✓ ✓ ✓ ✓ Training on enhancement of knowledge for the public by the SEC Network. ✓ ✓ ✓ Any
letter of consent. However, the company failed to fully make the required payment accordingly. The SEC has therefore submitted a request to the public prosecutor to file a petition with the Civil Court
progresses in the areas of market supervision and development, such as quality enhancement of IPO issuers and listed companies, legal enforcement in various cases, and improved transparency and fairness in
, provided information to the press at a monthly media briefing in March 2024. The briefing covered the enhancement of regulations regarding short selling and program trading to ensure greater transparency
private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of