act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) จัดงานสัมมนา Compliance Meeting หัวข้อ “Strengthen Self-Regulate กำกับดูแลตนเองอย่างเท่าทัน” ให้แก่เจ้าหน้าที่ดูแลการปฏิบัติงานด้านหลัก
offering and to strengthen proper investor protection mechanisms. Pursuant to the amended regulations, investors’ rights will be protected fairly according to the characteristics, forms and risks of the
The Securities and Exchange Commission, led by Secretary-General Pornanong Budsaratragoon and the management team, held a meeting with the Thai Investors Association (TIA), led by President Mr.Yingyong Nilasena, directors and advisors, together with members of the Shareholders’ Proxy Volunteer Club, to discuss collaboration in developing and enhancing the protection of shareholders’ and investors’ rights in alignment with the changing capital market ecosystem. The discussion included st...
In a case that at the minimum 80% of targeted fundraising amount in crowdfunding project are subscribed, this is regarded as successful debenture crowdfunding. This regulatory revision aims to assist small- to medium-sized enterprises (SMEs) to gain greater access into funding sources, and to be in line with overseas crowdfunding regulations. It came into force from 16 March 2020.SEC Assistant Secretary-General Jomkwan Kongsakul said “SEC is ready to support the government policy in pro...
operational strategies, aiming to reduce obstacles and enhance business operations to strengthen confidence in the Thai capital market. The meeting was held at the SEC Building on 21 December 2023.Mrs
Following the concerns from the last public hearing in 2017 on the revision of the principles and regulations relating to the provident fund to resolve the issue that members did not have adequate information to understand before selecting their investment policy, SEC had then discussed with relevant departments to revise the details of such regulations, in order for the provident fund members to select their appropriate choice of investment policy, which would result in a sufficient grow...
Following the concerns from the last public hearing in 2017 on the revision of the principles and regulations relating to the provident fund to resolve the issue that members did not have adequate information to understand before selecting their investment policy, SEC had then discussed with relevant departments to revise the details of such regulations, in order for the provident fund members to select their appropriate choice of investment policy, which would result in a sufficient grow...
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC has the duty to supervise and develop the Thai capital market. One of our key responsibilities is to help increase businesses’ access to