Mr. Anek Yooyuen, Deputy Secretary-General of the SEC, said: “We have been on the case regarding the complaints against the ZipUp+ project of Zipmex Co., Ltd. So far, the SEC has enforced the law on the company and conducted consistent investigations as authorized by law. The enforcement under the Emergency Decree on Digital Asset Businesses B.E. 2561 (2018) encompassed various aspects, including asset custody, information disclosure, and undertaking of other businesses in contravention of the g...
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
SEC Secretary-General Pornanong Budsaratragoon said: “The SEC launched the ESG Product Platform in January 2023, demonstrating our commitment to continuous development. The goal is to ensure that capital market participants and the public can easily access information on sustainability-themed financial products from reliable sources. This update introduces key information on SRI Funds, categorized by tax-benefit products such as Retirement Mutual Fund (RMF), Super Savings Fund (SSF) and Thai ESG...
The SEC has been coordinating and holding discussions with the TDO, digital asset business operators, and relevant agencies including the Bank of Thailand, the Cyber Crime Investigation Bureau, the Central Investigation Bureau (CIB), the Anti-Money Laundering Office (AMLO), and the Thai Bankers’ Association to prevent the use of digital assets as a means for money laundering by criminals. The SEC has updated the progress of the joint efforts with the TDO in developing the preventive meas...
details in SEC News No. 31/2024 headlined, SEC updates on the Strong Securities Issuers Project and law enforcement.
Bangkok, 6 February 2024 – The Securities and Exchange Commission (SEC) has provided an update on the progress of initiatives aimed at enhancing the quality of listed companies and the duty performance of personnel in the capital market. These initiatives fall under the Strong Securities Issuers Project and focus on preventing, deterring and suppressing inappropriate behaviors and misconduct. A recent development in this area is the SEC Board’s approval of amendments to the Stock Exchange of Tha...
news updates and prepare documentation regarding their bondholding in case it becomes necessary to confirm their bondholder status. Additionally, the bondholders should study their rights under the
On 11 December 2019, the SEC Board passed a resolution approving ThaiBMA as a licensed securities depository under the regulatory sandbox project whereby blockchain technology is implemented to enhance the speed and efficiency of the trading process of corporate bond. Currently two companies have issued and offered corporate bonds for sale using the blockchain system of ThaiBMA, namely (1) Toyota Leasing (Thailand) Co., Ltd. offering corporate bonds exclusively to institutional investors...
Bangkok, 28 February 2019 ? The SEC has updated the list of cryptocurrencies eligible for initial coin offering (ICO) investment or value comparison as base trading pair against other digital assets traded on digital asset exchanges. As a result, the current list comprises four cryptocurrencies, namely Bitcoin (BTC), Ethereum (ETH), Ripple (XRP) and Stellar (XLM).In any case, it should be noted that the announcement of such cryptocurrency list is not a certification of their legal tender status....