Bangkok, June 21, 2016 ? The SEC and the Stock Exchange of Thailand (SET), with support from the Office of the Judiciary, have recently co-organized a capital market seminar to discuss how class action* can be another legal option for protecting investors? interest.Guest lectured by Appeal Court Judge Pongdej Wanichkittikul to stakeholders from listed companies, the Thai Investors Association and the Association of Investment Management Companies among others, the seminar highlighted the princip...
SEC revealed that, under the situation of the outbreak of COVID-19 which has impacted the business operations, the financial positions and the performance of listed companies and security issuers, and the trading prices of securities of listed companies on the Stock Exchange of Thailand. SEC, therefore, encouraged every listed company and security issuer to disclose both positive and positive effects of COVID-19 on the company. This information could be disclosed via different channels,...
Bangkok, October 29, 2014 ? The SEC is seeking public comment on draft regulations on prevention and management of conflicts of interest and proprietary trading applicable to business operators. The
With reference to the recent occurrence, a foreign private digital wallet service provider has solicited investors in Thailand via social media to trade digital assets by linking investor trading activities with another foreign digital asset trading platform and allowing payment for the transactions made in Thai baht through Prompt Pay and Thai QR. Such provision of services may be deemed the undertaking of digital asset business without license, subject to the offenses under the Emergenc...
Bangkok, 31 October 2017 ? The SEC has filed criminal complaints against former directors and executives of The International Engineering Public Company Limited (IEC) and their associates, totaling 25 persons, with the Department of Special Investigation (DSI) for jointly committing fraudulent acts, misappropriating the company's assets and seeking unlawful gains, which has caused damage to IEC. Their misconduct also included arranging or allowing fabrication of accounting records inconsistent w...
Since the class action law came into force in 2015, the SEC has continuously publicized the information about the law to enhance knowledge and understanding of investors and interested parties, through the SEC’s communication channels and mass media, in the forms of infographics, articles, as well as educational seminars organized in cooperation with related agencies. In carrying out investor protection mandate, education is an SEC’s crucial tool. “This seminar on class action legal proceedings...
The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk management process of mutual funds, the SEC encourages asset management companies to strengthen the effic...
SHARE : SEC advises the public and listed companies to be cautious in making transactions related to digital assets Thursday 8 July 2021 | No. 128 / 2021 Bangkok, 8 July 2021 – The Securities and Exchange
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