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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,...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8413

Public hearing on draft regulation on prevention and management of conflicts of interest and investment of business operators

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5655

SEC files criminal complaints against 25 former IEC executives and associates for fraudulent acts and exploitation of the company?s interest

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...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6920

SEC and SET co-organized, together with other three parties, a seminar on “Class Action Lawsuit” for the interest of investors and the public

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...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10308

SEC public hearing on proposed regulations related to risk management policy and liquidity risk management tools of mutual funds to protect and maintain investors’ interest

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...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8871

น.(ว) 7/2554 นำส่งสำเนาประกาศและซักซ้อมความเข้าใจ

ยกเลิก

http://law.sec.or.th/content/2889/4946/1#4946

น.(ว) 8/2554 เรื่อง นำส่งสำเนาประกาศและซักซ้อมความเข้าใจ

ยกเลิก

http://law.sec.or.th/content/2899/4956/1#4956

กลต.น.(ว) 20/2554 แนวทางขั้นต่ำในการป้องปรามการใช้ประโยชน์จากข้อมูลภายในของกองทุน

ยกเลิก

http://law.sec.or.th/content/2905/4962/1#4962

การซื้อคืนใบสำคัญแสดงสิทธิฯ

มาตรา : พ.ร.บ.หลักทรัพย์ฯ มาตรา 32 และ 33 ข้อ/ประกาศ : - วันที่ถาม : 01/05/2548