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...
SEC Secretary-General said “With respect to the policy of SEC to enhance the protection for investors in the capital market, auditors and audit firms is deemed to play an important part in the process to achieve that goal. SEC has proposed to hire a researcher to conduct a study on the legislations relating to audit firms and auditors supervision in foreign country which will be taken into account in amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to al...
Bangkok, 24 January 2024 – The Securities and Exchange Commission (SEC) reinforces collaboration with the Department of Special Investigation (DSI) regarding the legal proceedings against the
member of Standing Committee of the Communist Party of China and representatives from Chinese businesses to discuss the collaboration between the Thai capital market and Kunming City of Yunnan Province
The MOU with the AMLO aims to enhance collaboration for the benefit of preventing and suppressing money laundering with a focus on mutual sharing of information and agency-specific expertise. This
Executives and representatives from key public and private agencies such as the Thai Listed Companies Association, Tisco Financial Group Public Company Limited, the Thai Institute of Directors Association, PricewaterhouseCoopers ABAS Limited, Deloitte Touche Tohmatsu Jaiyos Company Limited and Kasikorn Asset Management Company Limited participated in a discussion on preparation and disclosure in accordance with the new CG Code. Participants from more than 250 listed companies were in atten...
During the meeting with Mr. Renaud Meyer, UNDP resident representative to Thailand who has begun his term since 26 March 2019, SEC Secretary-General Ruenvadee Suwanmongkol reaffirmed SEC’s readiness to cooperate with UNDP in driving towards Sustainable Development Goals within 2030, and to implement the National Action Plan on Business and Human Rights (NAP) the first phase 2019 – 2022. The NAP will further demonstrate the SEC role in promoting and supporting the business sector’s consideration...
the form of outsourcing or partnership. In this regard, the partnership-based business operation guidelines must be improved from the SEC circular in this matter. SEC has therefore proposed issuance of
guidelines in the investment management industry. This initiative seeks to enhance collaboration, benefiting the sustainable and stable growth of the industry. Ms. Nataya Niyamanusorn, Assistant Secretary