Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3
advice in relation to the SEC rules and regulations and disclosable information for a more efficient investor rights exercising process”, said the SEC Secretary-General.The SEC has continuously supported
Disclosure Standards and thus enabled to file a single set of disclosure documents with several regulators. The filing must be prepared in Thai and English without different information in materiality and
sufficient and complete information, as well as continuously providing knowledge and understanding on investment in bonds to the public.Moreover, SEC has established a mechanism for the investors to be able
must be reported and the procedure for obtaining facts relating to such circumstances shall be in accordance with the Notification of the Capital Market Supervisory Board
facilitate the exchange of experiences among law enforcement personnel involved in the Thai capital market. During the event, SEC executives presented lectures focusing on supervision and law enforcement
Bangkok, May 6, 2014 ? The SEC supports Thaipat Institute to develop ?the first CSR and Anti-corruption progress indicators for Thai listed companies?, with a six level assessment of 0-5. In the
declare the corporate intent to serve the public and capital market stakeholders with integrity, transparency and corporate governance, on 8 May 2019. The SEC Declaration of Intent is in compliance with
SEC is welcoming public comments on a drafted notifications of the approval for offering of newly issued shares and information disclosure, applying to issuers and listed companies, in accordance