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,...
View ArticleSEC 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;...
View ArticleSEC 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;...
View ArticleSEC 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...
View ArticleSecurities 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...
View ArticleSEC 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...
View ArticleSEC 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...
View ArticleSEC 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)....
View ArticleSEC 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...
View ArticlePublic 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...
View ArticleSEC 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...
View ArticlePublic 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...
View ArticleSEC 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...
View ArticlePublic 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...
View ArticleSEC 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...
View ArticleSEC 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...
View ArticlePublic 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...
View ArticleSettlement 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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