Public hearing on rules for additional definition of investors in crowdfunding
Bangkok, June 12, 2015 –The SEC is seeking public comments on proposed definition of qualified investor or angel investor for the purpose of investment in equity crowdfunding. This type of investor...
View ArticleSEC suspends a capital investment consultant for making trading decision on...
Bangkok, June 15, 2015 – The SEC suspended Supakorn Dumrongdach, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company...
View ArticlePublic hearing on bounty regulations under Derivatives Act
Bangkok, June 16, 2015 – The SEC is seeking public comment on the draft regulations to be issued under Section 152 of the Derivatives Act B.E. 2546 (2003) on payment of bounty to the informer. Under...
View ArticleSEC and NIDA co-host Thai Equity Fund Insight
Bangkok, June 18, 2015 – The SEC and the School of Development Economics of National Institute of Development Administration (NIDA) co-organized “Thai Equity Fund Insight” at the 5th SEC Working Papers...
View ArticleSEC files criminal complaint against GSTEL & GJS directors and executives...
Bangkok, June 24, 2015 – The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against directors and executives of G Steel PCL (GSTEL) and G J Steel PCL (GJS) for...
View ArticleSEC suspends two investment consultants
Bangkok, June 25, 2015 – The SEC suspended Sumphan Kapuk, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client’s behalf...
View ArticleSEC urges CWT shareholders to exercise voting rights in the proposed waste...
The independent financial advisor (IFA), on the contrary, opined that CWT shareholders should not approve the proposed transaction due to limited information and uncertainty in material information....
View ArticleSEC sanctions investment consultants and securities firmâs executive
Bangkok, July 2, 2015 – The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were Chana Riddhimat and Raywat Chiewchansuwan, securities...
View ArticleSEC files criminal complaint against 4 TYM price manipulators
Bangkok, July 3, 2015 – The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against Sornnon Sudtiastasilp, Naraporn Chuvessiriporn, Nacharat Sirithep, and Thanatdej...
View ArticleSEC sanctions four investment consultants
Bangkok, July 8, 2015 – The SEC suspended three investment consultants for making trading decisions on the clients’ behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market...
View ArticleSEC sanctions four investment consultants
Bangkok, July 8, 2015 – The SEC suspended three investment consultants for making trading decisions on the clients’ behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market...
View ArticleSEC-SET revise measures for monitoring shares with high turnover ratio
Bangkok, July 10, 2015 – The SEC and the Stock Exchange of Thailand (SET) agreed to provide the information concerning abnormal securities trading in one place. Accordingly, the SEC’s last Turnover...
View ArticleSEC eases the process to facilitate debt securities offerings
Bangkok, July 17, 2015 – The SEC supported debt securities issuer to make debt securities offerings with more convenience, less time-consuming, and in line with international practices. Rapee...
View ArticleSEC takes further step on NMG shareholdersâ complaints
Bangkok, July 20, 2015 – The SEC takes further actions under the securities and exchange law after the Department of Business Development (DBD) clearly indicated that disallowing shareholders to attend...
View ArticleSEC announces organizational restructuring effective from August 1, 2015
1. Mr. Pariya Techamuanvivit Director, Corporate Affairs Department2. Mrs. Somsuda Tanchanpongs Director, Corporate Governance Department3. Mrs. Sittasri Nakasiri Director, Enterprise Risk Management...
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