SEC revokes approval of investment consultants for submitting false evidence
Bangkok, April 27, 2016 – The SEC has revoked approval as securities investment consultant of three employees of AIA Co., Ltd., namely (1) Atcmima Pattanapinyokul, (2) Laddawan Preechasiriratna, and 3)...
View ArticleSEC public hearing on draft rules concerning information disclosure of...
Bangkok, April 29, 2016 – The SEC is seeking public comments on draft rules concerning guidelines for post-offering disclosure of information to be imposed specifically on property funds,...
View ArticleSEC orders AIE and AI to cooperate with their auditors
Bangkok, April 29, 2016 – The SEC has ordered AI Energy Public Company Limited (AIE) and its parent company Asian Insulators Public Company Limited (AI) to cooperate with their auditors for the audit...
View ArticleSEC public hearing on CFO and accountant qualification rules
Bangkok, May 4, 2016 – The SEC is seeking public comments on draft rules concerning qualifications of chief financial officers (CFO) and accountants who are the key preparers of financial statements...
View ArticleSEC joins Money Expo 2016, featuring advice on financial planning for life
Bangkok, May 10, 2016 – The SEC invites investors and the public to visit SEC Café Working Space at Money Expo Bangkok 2016 to learn more about smart saving and investment tools that could help them...
View ArticleSEC files a criminal complaint against four manipulators of UMI shares
Bangkok, May 18, 2016 – The SEC has filed a criminal complaint with the Department of Special Investigation (DSI) against four manipulators of the price and trading volume of The Union Mosaic Industry...
View ArticleSEC public hearing on proposed amendment to asset management rules on...
Bangkok, May 24, 2016 – The SEC is seeking stakeholders’ and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management...
View ArticleSEC orders EIC to cooperate with auditor and rectify financial statements for...
Bangkok, May 24, 2016 – The SEC has ordered Electronics Industry Public Company Limited (EIC) to submit the annual financial statements for the year 2014, the quarterly financial statements for the...
View ArticleSEC to host FinTech Forum featuring the latest technologies in big data analysis
Bangkok, May 25, 2016 – The SEC will hold a public seminar titled, “FinTech Forum: FinTech Data Analytics” to capture the growing financial business trends and technologies particularly in the area of...
View ArticleSEC public hearing on draft rules on reporting of securities holding and...
Bangkok, May 26, 2016 – The SEC is seeking public comments on draft rules concerning disclosure of reports of foreign issuers with regard to securities holding and tender offer for business takeover to...
View ArticleSEC public hearing on draft rules governing conversion of property fund to REIT
Bangkok, June 7, 2016 – The SEC is seeking public comments on draft rules governing the conversion of property funds (Type 1) to Real Estate Investment Trusts (REIT) to make it more practical for the...
View ArticleSEC urges VTE shareholders to exercise voting right on solar power plant...
Bangkok, June 8, 2016 – The SEC is urging the shareholders of Vintage Engineering Public Company Limited (VTE) to study the proposed contract on the construction of a solar power plant for GEP...
View ArticleSEC public hearing on amendment to disclosure rules concerning multiple...
Bangkok, June 10, 2016 – The SEC is seeking public comments on the proposed amendment to the rules governing disclosure of information in the Annual Registration Statement (Form 56-1), specifically in...
View ArticleSEC public hearing on draft amendments to the rules governing investment of...
Bangkok, June 15, 2016 – The SEC is seeking public comments on the proposed amendments to the rules governing investment of private funds and mutual funds offered for sale to accredited investors.The...
View ArticleSEC and FAP jointly launch the New Auditorâs Report Educational Project
Bangkok, June 16, 2016 – The SEC in cooperation with the Federation of Accounting Professions (FAP) under the Royal Patronage of His Majasty the King is organizing the New Auditor’s Report Educational...
View ArticleSEC public hearing on a proposed revision to intermediariesâ annual fee...
Bangkok, June 21, 2016 – The SEC is seeking public comments on a proposed revision to the annual fee rates of intermediaries in the categories of securities business, derivatives agent, asset...
View ArticleSEC revokes approval of investor consultant for dishonest acts
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View ArticleThe Criminal Fining Committee imposes fines on nine manipulators of UMI shares
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View ArticleSEC steps up multilateral cooperation to prepare for launch of cross-border...
Bangkok, June 30, 2016 – The SEC has become one of the first signatories to the Memorandum of Cooperation on the Establishment and Implementation of the Asia Region Funds Passort (MoC), which...
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