The SEC supervises intermediaries? efficiency with an emphasis on risk management, suitable business model and risk profile of each securities house.? SEC Assistant Secretary-General Paralee Sukonthaman said: ?The SEC supervision takes into serious account intermediaries? managerial structure and work systems to ensure protection of clients? best interest and the overall market reliability. Some of the key issues include competent personnel, professional code of conduct, effective risk managemen...
Bangkok, August 18, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General said that the SEC recently presented the benefit of infrastructure funds for infrastructure development in Thailand to Air Chief Marshal Prajin Jantong the Commander-in-Chief of the Royal Thai Air Force, the deputy chief of the National Council for Peace and Order (NCPO). The infrastructure fund regulations have been in force to accommodate both public and private sectors to set up infrastructure funds. Currently, three...
Bangkok, January 12, 2015 ? The SEC supports asset management companies to raise their competitiveness with more distribution channels, new types of mutual funds and join business development in the
supports life assurance firms to follow the proxy voting guidelines by voting for fair and useful agenda and against those with unfairness and non-transparency. The implementation of guidelines will enhance
Bangkok, 20 October 2017 ? The SEC is giving its full support to the Draft Law on Business Promotion and Public Access to Services through Financial Technology B.E ("FinTech Act") to create opportunities for established and potential business operators to maximize the use of FinTech in developing financial and investment services with less legal limitations and more efficient information access.SEC Deputy Secretary-General Tipsuda Thavaramara said: ?Making an electronic transaction and applying...
Bangkok, August 26, 2014 ? The SEC supports commercial banks and their subsidiaries to expand their businesses in relation to new capital market products by taking roles of financial advisors
Bangkok, February 21, 2014 ? The SEC and the PwC Thailand co-hosted the seminar ?Challenges facing audit committees on listed companies? sustainable development? to provide a venue for discussion and exchange of views and experiences between audit committee members and experts. Vorapol Socatiyanurak, SEC Secretary-General said that the seminar aimed at help preparing audit committees to perform their roles in line with sustainable development roadmap. The seminar allowed sharing of experiences a...
Bangkok, February 6, 2015 ? The SEC has supported Phoenixict Pte Ltd. and the communication and technology-based alliances from both the public and private sectors in organizing the first CrowdFunding Asia™ Thailand Summit 2015 during February 10-11, 2015 at Renaissance Bangkok Ratchaprasong. The event aims to broaden and create awareness as well as inspire business operators, especially small and medium-size enterprises (SMEs) and startups in Thailand and Asian region toward utilizing advanced...
Earlier, the SEC Management led by Secretary-General Ruenvadee Suwanmongkol had a meeting with Mr. Robert Scharle, CEO of LuxSE, and executives on 31 January 2020 to discuss and share experiences in establishing a sustainable bond data platform as well as to explore the possibility of displaying Thai sustainable bonds (Green Bond, Social Bonds and Sustainability Bonds) on LGX, a platform exclusively for green, social and sustainable securities, to allow global investors a convenient infor...
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC Board Meeting No. 2/2565 held on 3 February 2022 has passed a resolution approving the draft regulations and the Notification of the Stock Exchange of Thailand regarding Amendment to the Regulations on Depository Receipts to allow DR to be bought in decimal point or Fractional DR (DRx).* The DR is a financial product linked to a foreign counterpart (cross-border product).” The SET has developed a new trading platform to support DR trad...