The SEC is proposing to revise the rules and related guidelines on the establishment of information technology system, which have been in force since 2016. The proposed changes aim to keep pace with

Bangkok, July 10, 2014 ? The SEC is seeking public comment on proposed revision of rules applicable to securities companies facing financial difficulty and unable to maintain adequate net capital as

Bangkok, July 28, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revisions of investment rules applicable to mutual funds and

supervisory rules that could impose excessive burdens on auditors. This regulatory revision would therefore attract sufficient qualified auditors into the capital market to serve the increasing number of listed

Bangkok, February 27, 2014 ? The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The

Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both

majority investors were retail investors, accounting for approximately 81 percent, and HNW accounting for approximately 6 percent.  SEC is therefore proposing principles for amending the rules on

On 25 November 2023, the SEC ordered Zipmex to rectify its financial condition to comply with the rules on fund maintenance as the company failed to do so and subsequently suspended its business

The SEC reviewed the principles for overseeing bills issued as securities to ensure compliance with the intent of the Securities and Exchange Act B.E. 2535 (1992) and consistency with the current business practices of the private sector. As a result, the regulations concerning the determination of the characteristics of bills issued as securities have been amended. According to the revised characteristics, bills deemed as securities mean: (1) bills of exchange and promissory notes payable or iss...