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Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A} for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4503

หนังสือชี้ชวนกองทุนรวม - SCBEQUAL : กองทุนเปิดไทยพาณิชย์ Thai Equity Equal Weight Portfolio

บริษัท หลักทรัพย์จัดการกองทุนไทยพาณิชย์ จำกัด|กองทุนรวมที่มีนโยบายเปิดให้มีการลงทุนในกองทุนรวมอื่นภายใต้ บลจ. เดียวกัน | วันที่เสนอขาย : 11/12/2562 - 17/12/2562

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0543&PYR=2562

SEC public hearing on the conditions for promulgation of research analysis in ASEAN region not to be regarded as activity of investment consultant

of research analysis by non-licensed business operators may be regarded as carrying out the investment advisory service business because such promulgation must only be made by a licensed business

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8348

SEC Strategic Plan 2018-2020 focuses more on equal market access for all and innovation-driven sustainable growth

Bangkok, 15 January 2018 ? The SEC has announced today the three-year Strategic Plan 2018-2020 with more focus on provision of wealth advice for long-term well-being of investors and promotion of sustainable efficiency in all aspects of market development.The plan involves several key implementations, including support for entry of wealth advisory service providers, optimum utilization of technologies and innovations to facilitate fast and convenient market access, more efficient cost management...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6919

Microsoft Word - public hearing-complex&ACMF08082018

Microsoft Word - public hearing-complex&ACMF08082018 เอกสารรับฟงความคิดเห็น เลขที่ อจต. 33 /2561 เร่ือง รางประกาศการแกไขหลักเกณฑเก่ียวกับการออกและเสนอขายตราสารหน้ี และการเปดเผยขอมูล ครั้งที่ 2

https://capital.sec.or.th/webapp/phs/upload/phs1534245604hearing.pdf

Investor Alert : Facebook Page ชื่อ Stocks Are Not Difficult

Facebook Page ชื่อ Stocks Are Not Difficult : Unlicensed securities and derivatives business (Disclosure Date : 22/01/2024)

http://market.sec.or.th/public/idisc/en/Viewmore/invalert-det?CaseID=087&CaseYY=2567

SEC says physical gold trading is not under SEC supervision

Bangkok, October 29, 2009 ? The SEC today has clarified that gold trading transactions with physical delivery and full payment of transaction value in which net settlement is not applied do not fall

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=3015

SEC suspends investment consultants for not taping clients' orders

Bangkok, February 18, 2013 - The SEC imposed a five-month suspension on {A}, a securities market investment consultant of Bualuang Securities Plc., and a three-month suspension on {B}, a securities market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders. He also admitted taking such trading orders via mobile phone. In addition, some of his clients' tra...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4881

Deadline for THL?s special audit report submission not extended

related parties and asset control management. Submission of special audit report will become due on December 9, 2011. THL has later requested for extension of submission while THL has not appointed any

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4505