Bangkok, October 30, 2012 ? The SEC requires advertisement on marketing campaign for selling mutual fund investment units clearly provide the fund?s information and avoid giving too much information on the giveaways. As from October 26, 2012, asset management company, brokerage firm and LBDU operator which hold marketing campaign must    emphasize on the information necessary for investor?s decision. Non-compliance may cause the advertisement to be ceased or revised.Advertisement on selling of m...

record any corporate’s personal data processing activities both in a hard copy or an electronics systemSEC Secretary-General Ruenvadee Suwanmongkol, said “SEC, as a capital market regulator, expects

is designed to encourage and support capital market intermediaries to have a cyber resilience, as well as to prepare playbook for cybersecurity incidents, which is an important part of the

Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions about the accountability of the

Customer (KYC), fit and proper personnel, standard sales process, management of customers’ digital assets and related data, and capital adequacy. There are also new provisions about the accountability of the

Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is

Notification of the Capital Market Supervisory Board Notification of the Office of Securities and Exchange Commission No. SorThor. 7/2557 Re: Rules on Appointing Independent Director of an

awareness of the importance of cybersecurity plan, work system stability and data protection. Co-organized by the SEC and the regulated entities, the cyber drill activities were conducted by experts from the

Today, SEC and organizations in the capital market – namely, the Stock Exchange of Thailand Group, the Federation of Thai Capital Market Organizations (FETCO), the Association of Securities

The Office of the Securities and Exchange Commission (SEC) and the Federation of Capital Market Organizations (FeTCO) are two key bodies hosting the Capital Market for Students 2006 Program. This is