also extend to conducting survey through "Nida Poll" on the issues of capital market, financial literacy and investment behavior as well as production and publication of academic researches and papers
Bangkok, 1 December 2017 ? The SEC is giving more focus to the regulation-for-growth approach to meet the demands of the public and all sectors of market participants more appropriately.Mrs
Bangkok, 21 February 2019 ? The SEC has announced key achievements of the past year highlighting establishment of sustainable market foundation, regulatory reform in line with the changing global
Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
Notification of the Capital Market Supervisory Board Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an
investors by considering investor’s investment objective, financial situation and particular needs; and (ii) soliciting for sales of the capital market products set out in item 3.2.1(1). Example 3 Type of
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of
growth. Advanced technology-driven market infrastructure will be established to increase efficiency. Investors will be encouraged to engage in businesses operated on the sustainability principle. Financial
covers four main areas, i.e., fundraising, market and intermediaries, , financial products, and SEC organizational development. Fundraising: upcoming important projects include introduction of