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SEC suspends an investment consultant

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Thailand makes significant improvements in Corporate Governance practices

Bangkok, April 25, 2013 – A World Bank report analysing Thailand’s corporate governance framework finds that while Thailand has undertaken significant reforms that have enhanced corporate governance,...

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SEC sanctions three investment consultants

Bangkok, May 2, 2013 –The SEC disclosed inappropriate behavior as well as imposed suspension on three investment consultants: (1) Chalermchai Panyavachilokul of Bualuang Securities Plc. for two months;...

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SEC sanctions three investment consultants

Bangkok, May 2, 2013 –The SEC disclosed inappropriate behavior as well as imposed suspension on three investment consultants: (1) Chalermchai Panyavachilokul of Bualuang Securities Plc. for two months;...

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SEC opens house at Money Expo Bangkok 2013

Bangkok, May 2, 2013 – SEC Secretary-General Vorapol Socatiyanurak invites the public to visit the “SEC Open house” at Money Expo Bangkok 2013, aiming to promote the importance of knowledge on...

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Securities firms urged to launch company reports on active securities

Bangkok, May 7, 2013 – The SEC has encouraged securities companies to prepare company reports on top 10 or 20 securities with active trading volumes to provide investors with sufficient information for...

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SEC supports fund supermarket

Bangkok, May 13, 2013 – The companies aiming to broker a variety of investment units offered by different asset management companies will be eligible to apply for Type D license. Certain requirements...

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SEC sanctions two investment consultants

Bangkok, May 15, 2013 –The SEC imposed a one-month suspension on Wassuwit Nasongkhla, a capital market investment consultant of RHB OSK Securities (Thailand) Plc. and disclosed inappropriate behavior...

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Thailand ranked in top three fund markets in Morningstars global survey

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SEC urges DEMCO shareholders to exercise voting rights on the acquisition of...

Bangkok, May 28, 2013 – According to company news, Demco Plc will seek its shareholders’ approval to acquire 5,263,158 newly issued shares of a wind farm developer--Wind Energy Holding Co., Ltd. (WEH)....

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SEC praised at Thailand ICT Excellent Awards 2012 in Knowledge Management...

Bangkok, May 29, 2013 – The SEC has been awarded a “Thailand ICT Excellent Awards 2012”in the “Knowledge Management” category for internal knowledge management under the SEC Centerpoint Project. The...

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Public hearing on regulation of capital market personnel

Bangkok, May 30, 2013 – The SEC is seeking public comment on the revision of regulations on capital market personnel for greater prudence, appropriateness and standards in order to enhance credibility...

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SEC revised outsourcing rules

Bangkok, June 5, 2013 – The SEC revised rules on outsourcing in securities and derivatives businesses to enhance flexibility and efficiency of business operators. The revised rules will become...

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Public hearing regarding the standards of business conduct, management...

Bangkok, June 6, 2013 – To streamline business operators’ practices for greater flexibility, consistency and comprehensiveness, the SEC is planning to incorporate the rules for both securities and...

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SEC suspends two investment consultants

Bangkok, June 13, 2013 – The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely Sira Udompreecha for two months and Samrit Trimetarsilp for one month.The...

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Public hearing regarding technical analyst

Bangkok, June 14, 2013 – The SEC is planning to introduce an approval regime for technical analyst with a view to elevating standard and quality of technical analysis profession and giving opportunity...

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SEC releases in-demand Mobile App start-to-invest II for investors

Bangkok, June 17, 2013 – The SEC has reintroduced mobile application “start-to-invest”, providing more information on new products, inflation-adjusted investment calculator and business operator quick...

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SEC wins Outstanding Booth award at Money Expo Bangkok 2013

Bangkok, June 17, 2013 – The SEC has won an “Outstanding Booth” award for the category “less than 100 square meters” at Money Expo Bangkok 2013 hosted by Money & Banking Magazine. SEC...

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Public hearing on periodic report regulations

Bangkok, June 21, 2013 – The SEC is seeking public comment on a draft revision to the rules governing preparation of financial statements, financial reports, and operating results of securities...

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Settlement Committee imposes fine on LVT insider trading

Bangkok, June 21, 2013 – The SEC revealed that the Settlement Committee imposed a fine of 500,000 baht on Harnrit Hansen for using inside information to sell shares of L.V. TECHNOLOGY Plc (LVT). With...

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