SEC Secretary-General Ruenvadee Suwanmongkol has announced key progresses concluded at the meeting with HK counterparts, as follows: (1) SEC and SFC will continue to work on the regulatory mapping exercises whereby a common ground has been established on 3 January 2020 regarding mutual recognition of funds. At the preliminary stage, both parties agreed on cross-border offerings of funds which includes plain vanilla funds and passive ETF. Both regulators are expecting to concl...
Administrative Court Office, on their visit the SEC to attend a lecture on “Decoding Success in Organizational Management: Public Sector Digital Technology and Innovation.” The lecture aimed to enhance
to perform duties responsibly with professional due care in violation of the Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the administrative sanction whereby her
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory operation for deficiencies in providing financial advisory services to the initial public offering (IPO) of a company, and deficiencies in performing duties as independent financial advisor (IFA) of another listed company. In light of such suspension order, {X1} Securities is still able to operate other b...
The Securities and Exchange Commission (SEC) welcomed a group of central and regional administrative case officers, senior professionals, under the Professional Level Administrative Case Officials
The Securities and Exchange Commission (SEC) welcomed officials from the Administrative Court Office on the occasion of a study visit and a lecture entitled “Digital Technology Development and
governamental policy; (3) the offer for sale of the debt securities may have a negative impact on the credibility of the overall Thai capital market; (4) the offer for sale of the debt securities may cause damage
Qualifications and Appointment of Administrative Panel