The ASEAN CIS Framework is an initiative under the regional capital markets integration plan endorsed by the ASEAN Finance Ministers in 2009 to facilitate cross-border product access and fund distribution for investors and issuers respectively. The framework enables fund managers operating in a member jurisdiction to offer a CIS constituted and authorised in that jurisdiction to retail investors in other member jurisdictions under a streamlined authorisation process. The Supplemental MoU t...

compliance with the Notification on Connected Transactions.  The Board of Directors resolved to propose the matter at the Extraordinary General Meeting of Shareholders in order to seek confirmation from the

The Civil Sanction Committee passed a resolution imposing a civil sanction on Surasak and Ekkamon in the case of insider trading of GLOBAL shares on 22 August 2012; however, both persons refused to comply with the civil sanction. Later, on 26 February 2018, the public prosecutor filed a legal action against Surasak and Ekkamon with the Civil Court after the SEC had submitted the case for the Court to impose the civil sanction on them in the Undecided Case No. Por. 1060/2561 between the SEC...

needed for its business model. This approach could support future entry of all types of securities businesses and increase the number of intermediaries who could render more convenient services to

;">ที่ กลต.ธ.(ว) 4/2552 เรื่อง การปรับปรุงวิธีจัดส่งรายงานแสดงทรัพย์สินของลูกค้าและใบยืนยันรายการซื้อขาย (confirmation statement)

SEC’s 28th Anniversary Celebrations. We have set up two pantries, one at the front entrance and the other at the back ally of the SEC Building, to provide daily essential items such as rice, dry foods

of Covid-19 such as social distancing, hygienic mask wearing and implementing the screening protocols at building entrance. For further information and inquiries, please call SEC Help

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qualifications as when first applied and must retake and pass relevant examinations. If an examination on ethics was not required for the entrance application, the applicant must pass such examination this time

relevant examinations. If an examination on ethics was not required for the entrance application, the applicant must pass such examination this time. − ✓ ✓