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...
Management Discussion and Analysis 1 Ref: AC.017/2020 18 May 2020 Subject: Management discussion and analysis of financial position and operating results To: President and Manager The Stock Exchange
deadlines and allows business operators and regulated companies to request additional extension for the SEC’s consideration on a case-by-case basis. The details are as follows: 1. Securities companies
SEC Secretary-General Ruenvadee Suwanmongkol (second from left) and SEC Assistant Secretary-General Praoporn Senanarong (far left) met with IOSCO Secretary-General Paul Andrews (middle) and IOSCO Deputy Secretary-General Tajinder Singh (second from right) to discuss international cooperation for the development and supervision of capital markets, at Hilton Hotel in Sydney Australia on 12 May 2019. SEC Secretary-General Ruenvadee Suwanmongkol met with IOSCO Secretary-General Paul Andrews to dis...
SEC has prepared a questionnaire surveying preparedness toward the Personal Data Protection Act, B.E. 2562 in April 2020 for self-assessment of 276 organizations under its supervision. Based on the results, 192 firms responded, scoring 70% total preparedness in personal data protection.Business operators, who need to accelerate their preparedness for the Personal Data Protection Act, have been advised by SEC to accelerate the following, four main issues.(1) Considering appropriate legal b...
SEC Secretary-General Ruenvadee Suwanmongkol said, "Under the current global situation that technology and user behavior has changed dramatically, which may come with cybersecurity risks, SEC has realized the importance of business preparation in this matter. For this reason, SEC is set to launch an online training under the topic of “Incident Response from the Pentester’s Eyes View” and “Cybersecurity Incident Playbook: Priorities & Best Practices”, which will be graced by the presences...
Management Discussion and Analysis Quarter 2 2020.pdf
The Securities and Exchange Commission (SEC), led by Secretary-General Pornanong Budsaratragoon along with executives, and the Association of Securities Companies (ASCO), led by Chairman Pichet Sithi-Amnuai along with executives and representatives from 38 securities firms, held a joint meeting to discuss and exchange views on guidelines for building trust and confidence in the Thai capital market, including guidelines for enhancing the development of the Thai securities industry where all...
Facebook "Maimug bb" is not affiliated with any businesses licensed or regulated by the SEC Thailand. : Unlicensed securities and derivatives business (Disclosure Date : 25/11/2025)
SEC has opened for public comments to revise the regulations on supervision of fintech as there are some business operators applying fintech to improve their service efficiency for investors. For example, algorithm or computer coding has been used in the process of investment analysis, advice, and investment decision-making. Therefore, it could lead to new services offering and help investors to have alternatives by using the capital market to accumulate wealth in the long run.SEC studied...