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SEC revokes approval for an investment consultant for 5 years for having a prohibited characteristic of capital market business personnel

characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8474

SEC’s public hearing on proposed principles and draft regulations on Approval of Newly Issued Shares by Holding Company.

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=869

SEC Thailand’s public hearing on the proposed amendments to fast track approval for mutual fund establishment regulations

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=929

SEC opens consultation clinic for business operations and fund raising approval under Royal Decree on Digital Asset Businesses B.E. 2561 (2018)

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...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8287

SEC revokes approval of executive of asset management company for failing to perform duties with loyalty and professional due care, including negligence of duties

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8073

SEC amends requirements on approval of auditors in the capital market to be consistent with current auditing practice and circumstances in Thailand

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8913

SEC Thailand’s Public Hearing on Draft Regulation Relating to the Exemption of SET’s Rules and Regulations from the SEC Board’s Approval.

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=573

SEC hearing on proposed requirement of ESG compulsory training course for renewal of approval of capital market business personnel to promote sustainable investment

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=668

The SEC welcomes public comments on the proposed revisions to the regulations on approval of appraisal companies and lead appraisers for capital market transactions

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=688

SEC public hearing on proposed principles and draft regulations on approval of newly issued securities by listed company under rehabilitation plan approved by the Central Bankruptcy Court

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=970