On 24 June 2019, SEC Secretary-General Ruenvadee Suwanmongkol, Sirivipa Supantanet and Paralee Sukonthaman, Deputy Secretaries-General, and a group of SEC executives led the first caravan under the

, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117

Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), delivered a keynote speech on “Expectations for Management Accountants from the Regulators

Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's

Bangkok, November 29, 2013 - The SEC imposed a one-month suspension of approval on {A}, a securities investment consultant of Phatra Securities Plc., effective from November 29, 2013.This follows a

and effective system for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC

for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC Act S.283 paragraph 1

Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from

off-site trading order submissions.  The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are welcome to submit comments through the website, or facsimile number at

, while fostering stronger international cooperation networks. The event welcomed over 150 participants, comprising both on-site and virtual participants, from AARG and FSSG member countries - namely