The management of two agencies discussed on enhancing cooperation between SEC Thailand and the SECC for capital markets development and supervision. This included encouraging listed companies from
Microsoft Word - hearing _selling agent & LBDU_ 04122552.doc เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการตั้งตวัแทน ขายหรือรับซื้อคืนหนวยลงทุน (selling agent) สํานักงานคณะกรรมการกํากับหลัก
Board’s Meeting No. 3/2563 held on 3 March 2020 chaired by SEC Secretary-General Ruenvadee Suwanmongkol, the Meeting has considered the guidelines for enhancing the securities companies’ capability and
During the meeting, both parties discussed the importance of enhancing cooperation between CSRC and SEC Thailand based on MoU signed in 2007, in response to global and regional challenges, and
SEC Secretary-General Pornanong Budsaratragoon, together with the SEC executive team, held the meeting with ThaiBMA led by Director Yodrudee Santatikul, President Dr. Somjin Sornpaisarm, and the ThaiBMA executive team, on 3 November 2023 at the SEC Building. The meeting was convened with the primary objective of fostering collaboration in the development and enhancement of standards related to the issuance and offering of debt securities. Key areas of discussion encompassed the enhancement of i...
Bangkok, August 17, 2015 ? The SEC filed a criminal complaint against Parin Pruksawan for committing front running in the Thailand Futures Exchange (TFEX) with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police). The SEC found that during December 17, 2013 ? January 9, 2014, Parin, then a trader of DBS Vickers Securities (Thailand) Co., Ltd., had front run his clients? futures trading orders through an account linked to him at another broker for his personal gain. This...
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for misconduct related to the offences of the investment consultants. Following an inspection report of {X1},...
Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have taken into account the important role of PF and DF marketing agents in soliciting investors to use inv...
จะร่วมกับเจ้าหนี้รายอื่นแต่งตั้งตัวแทน (securities agent) เพื่อดูแลหลักประกันดังกล่าวได้หรือไม่ และการตั้งตัวแทนดังกล่าวถือเป็นการตั้งตัวแทนตามมาตรา 100 แห่งพ.ร.บ. หลักทรัพย์ฯ หรือไม่