Currently, the SEC regulates three types of bills, namely: 1) bills that are considered as securities, 2) bills that are considered as securities but under the exemption of regulations regarding offer for sale of newly issued debt securities*, and 3) bills that are not securities.  To enhance regulatory clarity and consistency with business practices of the private sector, the SEC is proposing to revise the definition of bills that are considered as securities as follows:  (1)  being bills of ex...

Bangkok, July 12, 2006 ? The SEC has uncovered unlicensed asset management services via the web board of www.dsm-stockpile.com , which stopped such services and informed the clients to refund their

stated below. 1.The Notification of the Office of the Securities and Exchange Commission No. SorNor. 30/2551 Re: Establishment of Mutual Funds and Entering into Agreements for Management of Private Funds

As a capital market regulator, the SEC is Thailand’s first governmental agency to have become an official supporter of the Task Force on Climate-related Financial Disclosure (TCFD) since 30th December 2020. In the following year, the SEC revised the disclosure rules by requiring listed companies to disclose information on their environmental, social and governance actions, including climate-related risk information, to investors and stakeholders via the 56-1 One Report. The SEC has published the...

The prevention and management of conflicts of interests in investment management businesses are one of SEC’s important strategies because the business structure in Thailand is financial

In recent times, investment management companies are significant and connected to country’s economic system and have been growing continuously. By the end of June 2018, the net asset value

The prevention and management of conflicts of interests in investment management businesses is one of SEC’s important strategies  because business structure in Thailand is characteristic of

investors, particularly asset management companies (AMCs), are necessary and important stakeholders in the sustainable development process. They serve as intermediaries helping to unlock the value and as a

issues the following regulations: Clause 1. The Notification of the Office of the Securities and Exchange Commission No. SorNor. 16/2543, Re: Determination of Rules and Procedures for Actions by Management

Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 31/2544 Re: Determination of Rules and Procedures for Actions by Management Companies against