After STARK had failed to prepare and submit its financial statements for the year 2022 within the specified period as required by law, the SEC, by virtue of Section 58 of the SEA, instructed the company to clarify its plan for the preparation and submission of such financial statements, including the repayment of all bonds issued by the company together with the possible impacts on investors, so that investors can have information for decision-making. At the same time, STARK was also instructed...
SEC held the second meeting with the “SME Startup PE VC” working group, set up to promote access to the Thai capital market by small- and medium-sized enterprises, startups, private equity firms, and venture capital firms, on 19 December 2019. Methods for fund mobilization and trading of shares of SMEs and startups on secondary markets were discussed. Conclusions from said discussion are as follows: 1. SMEs and startups are required to be limited companies or public limited...
Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders.{A} case was referred from the Stock Exchange of Thailand for the SEC's further investigation while cases of {B} and {C} were detected by the SEC's routine inspection. The SEC found from the probe that they incompletely recorded client's securities or derivatives trading orders due to their receipt...
Bangkok, January 14, 2013 ? The SEC revealed four key strategies, highlighting six initiatives to be launched in 2013. Its strategic direction includes: reaching out in response to the needs of businesses and investors, preparing a set of common offering rules classified by risk and complexity levels of products to boost flexibility in offering new products and services, and introducing a new investment supermarket license to provide an opportunity to the investing public to have more accessibil...
In November 2019, SEC engaged the Thailand Development Research Institute (TDRI) to conduct a study on laws pertaining to the supervision of audit firms and auditors in foreign capital markets for supporting amendment of the Securities and Exchange Act B.E. 2535 (Securities and Exchange Act) to allow more effective and efficient supervision of audit firms and auditors in Thai capital market.SEC Secretary-General Ruenvadee Suwanmongkol said: “This is the first time SEC contracts an independ...
In pursuant to the Royal Decree on Digital Asset Businesses, B.E. 2561, which took effect since 14 May 2018, allows existing digital asset business operators who submit their requests to SEC within 90 days (within 14 August 2018) to continue their business until an order to discontinue their businesses is given. Earlier, SEC disclosed the names of seven digital asset business operators asking for the digital asset operating licenses.SEC examined information of Southeast Asia Digital Excha...
any) in the following business day to prevent damage that may be caused https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8365 SEC unveils achievements of Thai capital market fundraising mechanism
caused https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8365 SEC unveils achievements of Thai capital market fundraising mechanism in Thailand for development of offshore infrastructures, including
damage that may be caused https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8365 SEC unveils achievements of Thai capital market fundraising mechanism in Thailand for development of offshore