SEC has a responsibility for the supervision and development of the Thai capital market so as to ensure that it is effective, transparent, and reliable and is accessible by every sector of capital
events leading to fluctuations in the investment management business, a significant impact could produce an effect on the overall financial system of the country.SEC therefore needs to revise report
capital market in general may be affected. In addition, the current rules on calculation of NC are not applicable to business operators which also operate the digital asset business. SEC therefore
Bangkok, July 28, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved revisions of investment rules applicable to mutual funds and
Bangkok, April 16, 2014 ? SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved to revise rules governing capital market personnel to standardize the
auditors in the capital market, and to grant a fee exemption for resubmission of the application for approval of auditor in the capital market for the applicants who affiliated with audit firms outside
Bangkok, July 10, 2015 ? The SEC and the Stock Exchange of Thailand (SET) agreed to provide the information concerning abnormal securities trading in one place. Accordingly, the SEC?s last Turnover List calculation date is July 10, 2015. The SEC and the SET have cooperated closely in monitoring securities traded with high turnover ratio where the SET functions as a front-line regulator to prevent abnormal securities trading. In so doing, both organizations have prepared and disseminated in...
exchange with an exception for a SET permission.Therefore, SEC intends to revise the regulations on listed securities trading services outside the stock exchange for proper supervision and in accordance
SEC is seeking public comments on amendments to the rules regarding financial statement forms for securities companies and derivatives business operators to ensure their consistency with Thai Financial Reporting Standards No. 9 (TFRS9) which is being revised by the Thailand Federation of Accounting Professions under the Royal Patronage of His Majesty The King (TFAC) which will become effective from 2019. The revision of TFAC will render effects on preparation of the financial statements, i...
SEC is proposing to amend the regulations on unitholding limitations of mutual funds. Proposed amendments include, for example, changing the methods of unitholding calculation and allowing mutual funds to be exempted if asset management companies comply with all obligations, such as widely allocating investment units to the general public, managing liquidity effectively and having measures to prevent mutual funds from being exploited for any other benefit than those which ought to be obta...