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The SPV Act grants the SEC Board the power to issue subordinate regulations regarding the criteria for defining future receivables as well as regulations regarding the criteria, conditions, and procedures for change of agent to collect and receive payments of debt. Currently, regulations have not been prescribed for the said matters.To ensure that the private sector will have clear guidelines for conducting business and properly complying with the law, the SEC is therefore proposing additi...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=9987

SEC is open for comments on the draft notification on the delegation of other persons by business operators to operate a business on their behalf

SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8392

SEC prepares to issue regulations that the “Chairman” and the “Manager” of IPO companies and listed companies to be different persons

will be effective in 2021. SEC has made the public hearing document available at https://www.sec.or.th/hearing. Related persons and interested parties may express their comments on the website or

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8561

SEC instructs JKN and persons involved to further clarify the issue regarding the seeking of the Board of Directors meeting’s resolution to approve rehabiliation petition

company directors and the unclear information regarding the invitation to the Board of Directors meeting, the SEC has therefore instructed JKN and persons involved to give additional clarification and

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10277

กลต.น.(ว) 14/2539 การจัดตั้งและจัดการกองทุนรวมที่เกี่ยวข้องกับบุคคลซึ่งมีความสัมพันธ์กับบริษัทหลักทรัพย์จัดการกองทุนรวม (affiliated persons)

และจัดการกองทุนรวมที่เกี่ยวข้องกับบุคคลซึ่งมีความสัมพันธ์กับบริษัทหลักทรัพย์จัดการกองทุนรวม (affiliated persons)ด้วยปัจจุบันมี

http://law.sec.or.th/content/2429/4501/1#4501

SEC files criminal complaint against directors, managers, or persons who are responsible for keeping BX private key and provides clues of persons who are suspected of wrongfully transferred clients

Following the announcement of BX (which formerly operated in digital asset exchange business) that its business operations will completely shut down on 3 April 2020 which means it will stop servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter to other out-of-control wallets without client’ instructions. That actions incurred losses to other...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8818

SEC Thailand’s Public Hearing on Proposed Regulations for the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=636

SEC Thailand’s Public Hearing on Drafted Regulations for the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=693

OFFER_DEBT_INVEST_EN.xlsx

Investors 30,722.08 Individuals 8,519.57 Juristic Persons 30,938.83 2.Foreign Investors Foreign Investors 50.00 Institutions 50.00 High Net Worth Investors 00.00 Individuals 00.00 Juristic Persons 00.00 2

https://dividend.sec.or.th/stat-report/OFFER_DEBT_INVEST_EN.xlsx

SEC imposes civil sanction on 24 offenders for MILL share manipulation

other involved individuals and juristic persons in concealment to mislead the public into believing that during such period, MILL shares were traded in large volumes and/or the share price was changed

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7294