the public to believe that the said company is: (1) a social enterprise thus allowed to make a public offering without the requirement to obtain approval or file a registration statement with SEC, and
On 9 July 2020, the CMSB Meeting No. 13/2563, chaired by SEC Secretary-General Ruenvadee Suwanmongkol, passed a resolution approving the regulations related to the establishment of high yield bond funds that will help increase liquidity and allow debt issuers affected by the COVID-19 pandemic to continue their business operation (bridge financing). This in turn will increase liquidity and stability of the high yield bond market as well as offer an alternative for high net worth investors...
circumstance, many audit firms in the capital market tend to postpone nomination of persons to apply for approval as auditor in the capital market, which may cause the number of auditors in the capital market
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
Under the proposed regulations, in order to be qualified for exemption, the futures exchange, derivatives clearing house, securities clearing house and securities depository shall submit its rule to the SEC Office at least 10 working days before the intended effective date of such rule, along with a brief report on comments from the stakeholders (if any). The types of rule that can rely on this exemption are as follows: (1) Rules that carry the material context similar to that state...
SEC Secretary-General Ruenvadee Suwanmongkol said “after the royal decree on digital asset businesses, B.E. 2561 came into force since 14 May 2018, it has attracted much interest from the public, particularly new-gen groups, for digital asset and fund raising businesses operation such as issuance of digital tokens or ICOs.As such, “SEC finds it necessary to enhance knowledge and understanding concerning related laws and regulations of the target groups via the SEC clinic to give advice on...
characteristics of personnel in the capital market business. SEC has therefore revoked the approval as personnel in the capital market business for Mr. King for 10 years, as major shareholder of securities
SEC Secretary-General Ruenvadee Suwanmongkol said: “The auditing context has evolved significantly over time. The SEC thus revises the requirements on approval of auditors in the capital market