Bangkok, November 20, 2015 ? The 10th SEC Working Papers Forum today has revealed the results of three research studies on the common theme, ?Investment: Expectations and Reality,? conducted by the SEC Research Department, the National Institute of Development Administration (NIDA) and Morningstar Research (Thailand) Ltd. All of the studies aim to provide a better understanding of investors? behaviors that could be useful for designing guidelines for financial education suitable for different ta...
. The current rules require both the issuers as well as all affiliates that engage in the main business of a group of companies to meet the qualifications and disclose information in the Filing Form
Bangkok, 6 January 2023 – The Office of the Securities and Exchange Commission (SEC) has announced appointments and rotations of departmental directors to meet the new organizational structure
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, including the mutual funds, private funds, and provident funds, is approximately 7.08 trillion Thai baht, or about 44 percent in comparison to the overall GDP of the country. Therefore, if there were any events leading to fluctuations in the investment management business, a significant impact could pro...
SEC Secretary-General Ruenvadee Suwanmongkol said: “Today, SEC has issued the Notification prescribing the standard single form for opening an account for investment in all types of capital market
Bangkok, 25 July 2022 – The Securities and Exchange Commission (SEC) has uploaded an information filing form specifically for the Zipmex Thailand case where its clients are affected by the company’s
On 1 September 2020, SEC amended the regulations on the preparation of the annual registration statement (Form 56-1) and annual report (Form 56-2) by consolidating both forms into one called Form 56
opportunity for investors to select products and services suitable for their personal needs. The SEC is therefore proposing the use of single form to reduce the burdens on investors and intermediaries
The MOU is a fruitful result of the collective cooperation of the four organizations in ensuring that their respective policies and oversight frameworks for personal data protection as well as oversight procedures are consistent. The MOU also prioritizes information sharing for mutual best interest. The signatories aim to support human resource development in the financial sector and educate financial service users to facilitate the financial sector’s smooth compliance with the Personal D...
The SEC has collaborated with the single form working group to develop the single form, which contains a standard information set. The working group consists of representatives from stakeholders in