SEC Secretary-General Ruenvadee Suwanmongkol has announced key progresses concluded at the meeting with HK counterparts, as follows: (1) SEC and SFC will continue to work on the regulatory mapping exercises whereby a common ground has been established on 3 January 2020 regarding mutual recognition of funds. At the preliminary stage, both parties agreed on cross-border offerings of funds which includes plain vanilla funds and passive ETF. Both regulators are expecting to concl...
Administrative Court Office, on their visit the SEC to attend a lecture on “Decoding Success in Organizational Management: Public Sector Digital Technology and Innovation.” The lecture aimed to enhance
to perform duties responsibly with professional due care in violation of the Notification of the Capital Market Supervisory Board.* The SEC has therefore imposed the administrative sanction whereby her
Bangkok, July 4, 2016 - The SEC has suspended the approval of {X1} Securities (Thailand) Co., Ltd. as financial advisor and the approval of {A} as the company's supervisor of financial advisory operation for deficiencies in providing financial advisory services to the initial public offering (IPO) of a company, and deficiencies in performing duties as independent financial advisor (IFA) of another listed company. In light of such suspension order, {X1} Securities is still able to operate other b...
The Securities and Exchange Commission (SEC) welcomed a group of central and regional administrative case officers, senior professionals, under the Professional Level Administrative Case Officials
governamental policy; (3) the offer for sale of the debt securities may have a negative impact on the credibility of the overall Thai capital market; (4) the offer for sale of the debt securities may cause damage
Qualifications and Appointment of Administrative Panel
Qualifications and Procedures for Appointment of Administrative Panel (No. 2)