Bangkok, June 28, 2010 ? At the second-quarter meeting with the Association of Investment Management Companies (AIMC), the SEC advised the industry to finalize its investment risk management guidelines by year-end while the AIMC reported progress in the formation of self-regulatory organization (SRO) in preparation for liberalization of securities businesses in 2012. ?Proactive preparation through such measures as regulatory relaxation to allow more flexibility for fund management can bring abou...

Bangkok, May 25, 2010 ? The SEC and the Association of Securities Companies (ASCO), at their second quarterly meeting, have agreed to introduce additional measures for enhancing securities industry?s efficiency and readiness for business liberalization in 2012, as follows:  1. Internet trading Securities houses are instructed to impose strict measures for monitoring clients? electronic trading to prevent inappropriate or illegal activities such as share price manipulation. Such measures that sho...

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...

Memorandum of Understanding (MOU) to strengthen mutual collaboration in capital market oversight. This collaboration aims to improve regulatory efficiency within each organization’s legal framework, creating

The Securities and Exchange Commission, led by Secretary-General Pornanong Budsaratragoon and the management team, held a meeting with the Thai Investors Association (TIA), led by President Mr.Yingyong Nilasena, directors and advisors, together with members of the Shareholders’ Proxy Volunteer Club, to discuss collaboration in developing and enhancing the protection of shareholders’ and investors’ rights in alignment with the changing capital market ecosystem. The discussion included st...

The Securities and Exchange Commission (SEC) organized the Compliance Relations 2024 Event with asset management companies and limited brokers, dealers and underwriters (LBDU), including banks, insurance companies and investment unit brokers. Under the theme, "Together Towards Tomorrow," the event aimed to foster stronger relationships, exchange experiences, and share knowledge on regulatory guidelines in the investment management industry. This initiative seeks to enhance collaboration, benefit...

Bangkok, 11 April 2025 – At the SEC Board’s meeting convened on 10 April 2025, the SEC Board passed a resolution approving amendments to the regulations of the Stock Exchange of Thailand (SET), as proposed by the SET. These amendments aim to enhance oversight of orderly securities trading by removing Non-SET100 Index securities from short selling eligibility. These SET’s regulations will take effect on 16 April 2025. Additionally, all short selling transactions must comply with the Uptick Rule,...

In October 2024, the SEC conducted a hearing to gather comments from the public and stakeholders on the draft amendments to the IT Regulation and Guideline. Feedback and suggestions from stakeholders were incorporated into the finalization process. The SEC has issued notifications specifying the amendments with the key points as follows:           (1) To adjust the frequency of submitting IT audit reports to be more appropriate for the risk level of small business operators and low-risk op...

Thai ESG funds and strengthen the fiduciary duty of asset management companies (AMCs) to ensure responsible investment.  Mrs. Pornanong Budsaratragoon, SEC Secretary-General, said: “The Capital Market

operational strategies, aiming to reduce obstacles and enhance business operations to strengthen confidence in the Thai capital market. The meeting was held at the SEC Building on 21 December 2023.Mrs