SEC Search

SEC revealed that at the 7th ARFP Working Group meeting, the progress of opening a funds passport was discussed. The member countries that are ready to submit a request for approval for sale are Australia, Japan, New Zealand and Thailand. As for South Korea, it is in the process of amending the law to support the said issue. In addition, other countries interested in the ARFP project which have sent representatives to observe are Singapore, Malaysia, Taiwan, Hong Kong and the Philippines.H...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8670

SEC prepares to issue regulations that the “Chairman” and the “Manager” of IPO companies and listed companies to be different persons

separate the positions of the Chairman and the Manager. Accordingly, the Stock Exchange of Thailand will also adopt this principle for existing listed companies. It is expected that the requirement

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8561

List of head of Compliance

List of head of Compliance Please wait... List of head of Compliance No. Company Name Commencement Date Securities Company Asset Management Company Investment Advisory Company Derivatives Brokerage

https://market.sec.or.th/public/orap/COMPLIANCE01.aspx?lang=en

Public hearing on common rules for new financial product offerings

Bangkok, August 26, 2014 ?The SEC is seeking public comment on proposed common offering rules for new financial products not falling within a scope of any existing rules. Introducing the common rules

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5549

การขอขยายระยะเวลาในการสรรหาและแต่งตั้ง Head of Compliance

หรือไม่ 1. ปฏิบัติตามประกาศ ทธ.39/2555 ในส่วนที่เกี่ยวกับการแต่งตั้ง Head of Compliance รายใหม่ 2. หากต้องปฏิบัติตามข้อ 1. จะสามารถขอผ่อนผันระยะเวลาการแต่ง

http://law.sec.or.th/content/4462/7364/1#7364

กลต.กธ.(ว) 21/2555 การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง head of compliance

;">ที่ กลต.กธ. (ว) 21/2555 เรื่อง การแจ้งแต่งตั้งและสิ้นสุดการแต่งตั้ง Head of compliance ตามที่สำนักงานได้นำส่งประกาศคณะกรรมการกำกับตลาดทุน ที่ ทธ. 39/2555 เรื่อง การจัดการให้มีหน่วย

http://law.sec.or.th/content/2919/4975/1#4975

SEC signed the MoU on Cross-border Publication of Research Reports, and the revised Memorandum of Understanding on the Streamlined Review Framework for ASEAN Common Prospectus to cover issuances of

and Singapore, and the revised Memorandum of Understanding on the Streamlined Review Framework for ASEAN Common Prospectus to cover issuances of plain debt securities under a debt issuance

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=7376

SEC and alliances announce launch of Thailand ESG Fund (Thai ESG)

national sustainabilityIndividuals in the picture (left to right):1. Dr. Kobsak Pootrakool, FETCO Chairman 2. Mrs. Chavinda Hanratanakool, AIMC Chairperson 3. Mrs. Pornanong Budsaratragoon, SEC Secretary

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=10339

Criminal Complaint Filed with an Inquiry Official Dated 04/10/2005

Mr. Chishiro Fukuda During January - August 2003, Mr. Chishiro Fukuda, the former DAIDO chairman, conspired with Mr.Pisarn Charaslertrangsi, the former DAIDO deputy chairman for finance and

http://market.sec.or.th/public/idisc/en/Enforce

Criminal Complaint Filed with an Inquiry Official Dated 04/10/2005

Mr.Pisarn Charaslertrangsi During January - August 2003, Mr. Pisarn Charaslertrangsi, the former DAIDO deputy chairman for finance and accounting, conspired with Mr. Chishiro Fukuda, the former

http://market.sec.or.th/public/idisc/en/Enforce