The current criteria require investment analysts (IA) seeking renewal of their approval to undergo a knowledge refresher by completing training or participating in eligible activities for no less
without savings, and (3) individuals with savings seeking further investment knowledge.
Facebook page ชื่อ Investment Knowledge : Unlicensed securities and derivatives business (Disclosure Date : 30/05/2024)
Bangkok, March 31, 2015 ?The SEC opened ?SEC Capital Market Knowledge Center,? with interactive multimedia to provide a comprehensive source of financial and investment information along with
Securities and Exchange Commission (SEC) is proposing amendment to the takeover regulations. The existing regulations require that people who make a tender offer for all securities of the business and related persons must submit hardcopy documents and also online documents through electronic system, which might cause burden on the private sector and it does not go accordingly with the technological change. SEC then proposes to amend processes related to the takeover regulations such as ca...
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek personal benefits from the margins of the offer prices. According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to seek personal gain from the margin of such offering and trading transactions. However, the clients who...
Facebook page "Hsh Financial Knowledge Club" : Unlicensed securities and derivatives business (Disclosure Date : 20/10/2025)
In the past, proposing of agenda items by shareholders of listed companies and proxy soliciting have been carried out differently for each company and for soliciting person as there is no common regulations determining practices to propose agenda items by shareholders and to solicit proxies from shareholders. SEC, therefore, plans to issue regulations on these matters to promote uniformity in the practices.In a matter of the proposal of agenda items by shareholders under Section 89/28 of the...