Bangkok, 6 January 2023 – The Office of the Securities and Exchange Commission (SEC) has announced appointments and rotations of departmental directors to meet the new organizational structure
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
SEC is opening for public comments on the regulations to supervise private funds as now business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
SEC is opening for public comments on the regulations to supervise private funds as the business operators have developed a variety of services to satisfy customers. Therefore, SEC intends to
There have been a large number of holding companies that issue IPOs. These companies conduct various types of businesses and comprise many affiliates, both in Thailand and in other countries. In each group of companies, an affiliate acting as the central company is the one whichsets out policies and business directions for all affiliates and associated companies within that group of companies. The current rules require both the issuers as well as all affiliates that engage in the main bus...
securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has prescribed, the Office shall have the authority to waive
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has
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