SEC suspends an investment consultant
In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities trading decisions on behalf of the...
View ArticleSEC kicks off “Pride of the Provinces...
Bangkok, January 3, 2014 – The SEC in cooperation with alliance from both public and private sectors launched “Pride of the Provinces III” to gear up provincial businesses’ fund raising and capital...
View ArticleSEC kicks off “Pride of the Provinces...
Bangkok, January 3, 2014 – The SEC in cooperation with alliance from both public and private sectors launched “Pride of the Provinces III” to gear up provincial businesses’ fund raising and capital...
View ArticleSEC suspends an investment consultant for trading securities on behalf of client
Bangkok, February 5, 2014 – The SEC suspended Siwakorn Thonglor, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a...
View ArticleSEC relaxes suitability test rule for institutional clients to registered...
Bangkok, February 10, 2014 – SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board approved an exemption of requirement to conduct suitability test for...
View ArticleSEC hosts the first meeting with bank chiefs, aiming at closer cooperation
Bangkok, February 10, 2014 – Securities and Exchange Commission (SEC) discussed with the Thai Bankers’ Association (TBA) and the Association of International Banks (AIB), on the commercial banks’ roles...
View ArticleSEC to allow ASEAN CIS cross-border offering to retail investors
Bangkok, February 11, 2014 – Vorapol Socatiyanurak, SEC Secretary-General revealed that the SEC Board has approved draft regulation on the offering of ASEAN Collective Investment Schemes (ASEAN CIS) to...
View ArticleThe SEC introduces ‘DIAL 1207’
Bangkok, February 17, 2014 – Vorapol Socatiyanurak, SEC Secretary-General said that “From Monday 17 February, 2014, investors and general public can simply dial 1207 to call the SEC for information...
View ArticleSettlement Committee imposes fine on RICH share price manipulator
Bangkok, February 19, 2014 – The SEC revealed that the Settlement Committee imposed a fine on Angkakarn Tantiviroon in the amount of 25,665,197.13 baht for manipulating share price of Rich Asia Steel...
View ArticleSEC supports audit committee’s role in driving sustainable...
Bangkok, February 21, 2014 – The SEC and the PwC Thailand co-hosted the seminar “Challenges facing audit committees on listed companies’ sustainable development” to provide a venue for discussion and...
View ArticleSEC introduces private equity trust
Bangkok, February 25, 2014 – The SEC Board approved private equity (PE) structured as trust or “PE trust” to promote PE development, increase more fund raising channels for businesses and encourage...
View ArticlePublic hearing on draft rules concerning investment service in foreign...
Bangkok, February 27, 2014 – The SEC is seeking public comment on draft compilation of rules governing providers of investment services in foreign currency denominated securities and derivatives. The...
View ArticleSEC relaxes regulations to promote REITs
Bangkok, March 3, 2014 – The SEC Board approved the amendments to regulations on trustee of real estate investment trusts (REITs) to enhance flexibility and facilitate REIT development.Vorapol...
View ArticleSEC urges clear and adequate disclosure of listed...
Bangkok, March 6, 2014 – The SEC circulated guidelines for listed companies to disclose information on asset disposal to mutual fund (i.e. property fund, infrastructure fund), or real estate investment...
View ArticleSEC-Japan FSA cooperation strengthened, Business opportunity for Thai private...
Bangkok, March 7, 2014 – The SEC exchanged Letters for Cooperation with Financial Services Agency (FSA), Japan, to expand business opportunity between two capital markets. In this regard, the SEC led...
View ArticleSEC jointly with private sector launches “A thousand baht,...
Bangkok, March 10, 2014 – The SEC jointly with the Association of Investment Management Companies (AIMC), the Stock Exchange of Thailand (SET), the Thai Bankers’ Association (TBA), the Association of...
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