investors correctly and completely and without sufficiently notifying or giving information that was important and relevant to investors’ decision making, in contravention of the Notification concerning
Bangkok, February 19, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities, particularly during the current escalating trading of securities with a high P/E ratio and under cash balance rule. SEC Secretary-General Vorapol Socatiyanurak said: ?The SEC has urged securities companies to carefully supervise their investment consultants to provide investment advice to their clients...
Bangkok, March 27, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities, particularly during the current escalating trading of securities with a high P/E ratio and under cash balance rule. SEC Secretary-General Vorapol Socatiyanurak said: ?The SEC has urged securities companies to carefully supervise their investment consultants to provide investment advice to their clients bas...
The SEC has endorsed the concept of regulatory enhancement regarding issuance and offering for sale of sustainability-themed bonds* to give opportunities for businesses of all sizes including SMEs and startups to raise fund through crowdfunding and private placement. This approach also aims to promote SMEs and startups to strengthen their adaptability and participate in business development in the realm of sustainability, which is crucial to the strategy and business operations to mitigat...
The Capital Market Supervisory Board (CMSB)’s Meeting No. 4/2021 dated 16 March 2021 passed a resolution approving in principle the regulatory revision following the cooperative plan of the BOT’s BIR program. The revision would accommodate the BOT’s market surveillance to acquire in-depth, complete, accurate and timely information on foreign bond investors’ behaviors. Such information would be useful for policy making with regard to exchange rates and financial system in an effective and t...
auditor’s reports on PVDs CMSB has approved an exemption for preparing and submitting financial statements and the auditor’s reports on PVDs by giving private fund management companies two options, namely
GJS will seek the annual general meeting’s resolution to ratify the financial support transaction for GSTEL in the form of short-term loan worth not exceeding 94 million baht without any collateral for the principal repayment period no longer than six months at the interest rate of 12.5 percent per year. The GJS Board of Directors approved the loan proposal on 16 March 2017. The GJS Board extended the loan repayment from 15 November 2017 to 15 May 2019 because GSTEL was procuring external...
On 3 August 2023, the SEC Board Meeting No. 12/2023 passed a resolution approving the principles and draft regulations related to application for approval and granting of approval for derivatives