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SEC lectures on financial and investment knowledge at the Rajamangala University of Technology Suvarnabhumi, Suphan Buri Campus

The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, gave an educational lecture on "Strategies for Securities Investments: A Guide for Beginners" for

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10530

SEC revokes approval of an investment consultant for performing duties dishonestly and acting in the manner that implies dishonesty

market business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Saowarat as an investment consultant for complex

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10550

SEC and Investment Banking Club discuss guidelines for increasing efficiency in fundraising supervision and enhancing professional quality

Investment Banking Club who have actively participated and contributed to our collaborative efforts to develop a reliable capital market as a robust fundraising platform that enhances the business sector’s

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10170

กลต.นธ.(ว) 31/2564 เรื่อง ขอเชิญร่วมอบรม Overview on "ESG Integration Framework" for investment analysis

;">ที่ กลต.นธ.(ว) 31/2564 เรื่อง ขอเชิญเข้าร่วมอบ รม Overview on “ESG Integration Framework” for investment analysis ตามที่ สํานักงานคณะกรรมการกํา

http://law.sec.or.th/content/4861/7912/1#7912

Public Hearing on compilation of capital market personnel rules

Bangkok, September 26, 2013 ? The SEC is seeking public comment on compiling and standardizing the rules and guidelines concerning all types of capital market personnel for ease-of- use. The

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5136

SEC Thailand’s Public Hearing on Draft Guideline for Sales Promotion of Investment Units of Mutual Funds of the Association of Investment Management Companies.

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=911

SEC Thailand’s public hearing on draft regulations relating to the capital requirement for trust managers and trustee of REITs or infrastructure trusts and investment management companies of property

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=553

SEC Thailand, CFA Institute and CFA Society Thailand co-organize seminars to promote integration of ESG data into investment analysis and advisory processes

Sustainability Issues on Valuation and Performance” for investment analysts and “Navigating the Future of Investing in the Time of Sustainability: A Paradigm Shift in the Roles of Investment Consultants?” for

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=11291

SEC sanctions five investment consultants for trading securities through clients' accounts for their own benefits and using non-financial institution loans

Bangkok, February 4, 2013 - The SEC suspended two capital market investment consultants, namely, {B} and {C}, as well as, two securities investment consultants, namely, {A} and {D} (formerly {F}), of

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4857

SEC public hearing on the conditions for promulgation of research analysis in ASEAN region not to be regarded as activity of investment consultant

SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8348