Diligence (KYC/CDD) and credit line review practices, particularly for those clients who have traded securities under cash balance rule or inappropriately transferred their securities to raise credit limits

Bangkok, February 6, 2013 - The SEC has instructed Thai Unique Coil Center Plc., (TUCC) to review and rectify its financial statements for the second and third quarters of 2012. TUCC is required to

Bangkok, September 11, 2014 ?The SEC is seeking public comment on draft regulations on termination of listed company?s duty to disclose information under  Section 56 and duty of directors and executives of the company under Chapter 3/1 of the Securities and Exchange Act B.E. 2535. The proposed rules aim to achieve a better balance between compliance cost for listed firms and benefit of public investors. The consultation paper is available on www.sec.or.th. Stakeholders and interested parties are...

Bangkok, September 11, 2014 ? The SEC is seeking public comment on proposed compilation of rules on customer contact and service for securities and derivatives business operators where certain requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed securities as well as rules on securities borrowing and lending, investment analysis and giving advic...

Bangkok, 19 September 2016 ? The SEC is seeking public comments on the proposed revision to the disclosure of information in the prospectus and fact sheet of retail mutual funds to present a clearer

Bangkok, August 31, 2016 ? The SEC is seeking public comments on the proposed revision to the rules governing determination of licensing fees imposed on securities and derivatives business operators

Bangkok, June 7, 2012 ? The SEC is seeking public comment on the revision to regulation governing return payment from the investment of property sector fund. The revision aims to solve tax

Bangkok, 11 October 2016 ? The SEC is seeking public comments on the proposed revision to the rules concerning intermediary reporting to support sufficient disclosure of information for the

 Bangkok, August 8, 2014 ? The SEC is seeking public comment on revision of secondary listing regulations to be in consistence with dual offering regulations under which foreign companies launch

Bangkok, January 10, 2014 ? The SEC is seeking public comment on proposed revision to the fund?s investment rules. The proposed revision applicable to mutual fund, private fund and provident fund