The SEC Secretary-General together with the Management Team convened a joint meeting yesterday with the Investment Banking Club led by President Mr. Somphop Keerasuntonpong to discuss cooperation in the development and enhancement of fundraising regulations, emphasizing the mutual assistance in screening companies offering securities for sale to the public and applying for listing on the stock exchange. The two parties also discussed the enhancement of fundraising supervision and the roles of fi...
more weight to practical rules and regulations developed from effective communication and understanding with all stakeholders. Rulemaking, however, will not be the only tool; other approaches are also
views of regulator and regulated persons. Meanwhile, better communication will allow stakeholders to learn of purposes, objectives and benefits of the regulations which must also be responsive to their
Nowadays, while advanced technologies bring benefits to the public, especially in terms of news and information feeds and communication tools, there are individuals who fall victims and suffer damage
Bangkok, 8 December 2023 – The Securities and Exchange Commission (SEC) has announced the appointment of the Deputy Secretary-General in charge of Corporate Communication Division to serve as the SEC
, as an essencial factor in business operation, listed companies are forced to face more challenges, whether in generating returns to the businesses among changing envornment, technologies or increasing
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
and details in this case. It is available on the SEC website at the link: www.sec.or.th/zipmexform. Earlier, the SEC instructed Zipmex to arrange a communication service system for its clients and to
, and provide a client communication service system and complaint handling services sufficiently and efficiently. ______________________
groups more efficiently, and procedures for clearer communication between selling agents and investors. The relevant regulations cover four key areas, namely: (1) the organizational structure, the roles