Aggregated News From Investment Management Regulators


SEC advises NEWS shareholders to vote on share acquisition and right to claim in the loan of Wealth Ventures as IFA considers the acquisition...

Bangkok, 16 July 2020 – SEC is advising the shareholders of News Network Corporation Public Company Limited (NEWS) to study information carefully and exercise their voting right at the extraordinary shareholders’ meeting to be held on 24 July 2020 regarding the company’s plan to acquire ordinary shares and the right to claim in the loan of Wealth Ventures Co., Ltd. In this regard, the independent financial advisor (IFA) is of the opinion that such asset acquisition is reasonable, but the purchase price of the ordinary shares is inappropriate, and thus the shareholders should not approve the acquisition transactions this...

SEC penalizes a former investment consultant for 10 years due to wrongful acts against an investor’s assets

Bangkok, 15 July 2020 – SEC has penalized a former investment consultant named Ms. Supreeya Intasopa by prohibiting her from performing duties as capital market business personnel for 10 years on account of committing wrongful acts against an investor’s assets. In this regard, she used the investor’s money for unit subscription and redemption for her own benefit, causing the total damage of 6.95 million baht to the investor. At the time of the offense, Supreeya was working at Bangkok Bank Public Company Limited. According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September...

SEC hosts a live discussion on regulatory guillotine, a next step towards stronger global competitiveness of the Thai capital market

Bangkok, 14 July 2020 – SEC has organized an online discussion on the topic, “Regulatory Guillotine: a Next Step towards Stronger Global Competitiveness of the Thai Capital Market” to share experiences and perspectives on capital market regulatory reform with experts from the public and private sectors. The interested public can watch the live broadcast from SEC Facebook page on 14 July 2020. This regulatory guillotine discussion is the first in the virtual talk series under the theme, “How to Regulate to Earn Investor Confidence and Global Competitiveness.” The main objective is to share knowledge and understanding as well as different views and opinions...

SEC public hearing on proposed rules to accommodate HK-Thailand Mutual Recognition of Funds

Bangkok, 13 July 2020 - The SEC is seeking public comments on the proposed regulations to accommodate cross-border fund offerings under the project for Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF). The supervisory proposal aims to enhance international market connectivity in accordance with the governmental policy and offer more investment alternatives for investors in both markets. SEC and the Securities and Futures Commission (SFC) are developing a bilateral agreement for cross-border fund offerings under the HK-TH MRF project with the main objective of facilitating mutual recognition of...

SEC announces CMSB’s approval for establishment of high yield bond funds in support of issuers affected by COVID-19

Bangkok, 10 July 2020 – The Capital Market Supervisory Board (CMSB) has approved the regulations for establishing debt securities funds whose investment policy concentrates in non-investment grade (high yield bonds) as a relief measure for debt issuers facing liquidity issue during the COVID-19 pandemic. On 9 July 2020, the CMSB Meeting No. 13/2563, chaired by SEC Secretary-General Ruenvadee Suwanmongkol, passed a resolution approving the regulations related to the establishment of high yield bond funds that will help increase liquidity and allow debt issuers affected by the COVID-19 pandemic to continue their business operation (bridge financing). This in turn will increase liquidity...

Regulator Information

Abbreviation: ASIC
Jurisdiction: Australia
Abbreviation: BCSC
Jurisdiction: Canada
Abbreviation: BVI FSC
Jurisdiction: British Virgin Islands
Abbreviation: CSA
Jurisdiction: Canada
Regulator Name: Capital Market Authority
Abbreviation: CMA
Jurisdiction: Saudi Arabia
Abbreviation: CIMA
Jurisdiction: Cayman Islands
Regulator Name: Central Bank of Armenia
Abbreviation: CBA
Jurisdiction: Armenia
Regulator Name: Central Bank of Iceland
Abbreviation: CB IS
Jurisdiction: Iceland
Abbreviation: CBR
Jurisdiction: Russian Federation
Abbreviation: CSRC
Jurisdiction: China
Abbreviation: CSSF
Jurisdiction: Luxembourg
Abbreviation: CFTC
Jurisdiction: USA
Abbreviation: CFPB
Jurisdiction: United States
Abbreviation: HANFA
Jurisdiction: Croatia
Abbreviation: CySEC
Jurisdiction: Cyprus
Abbreviation: DFSA
Jurisdiction: Denmark
Abbreviation: AFM
Jurisdiction: Netherlands
Regulator Name: European Banking Authority
Abbreviation: EBA
Jurisdiction: Supranational
Abbreviation: EIOPA
Jurisdiction: Supranational
Abbreviation: ESMA
Jurisdiction: ESMA
Abbreviation: FDIC
Jurisdiction: United States
Regulator Name: Federal Reserve System
Abbreviation: FRB US
Jurisdiction: United States
Abbreviation: FRA
Jurisdiction: Egypt
Abbreviation: FCNB
Jurisdiction: Canada
Regulator Name: Financial Conduct Authority
Abbreviation: FCA
Jurisdiction: United Kingdom
Abbreviation: FinCEN
Jurisdiction: United States
Abbreviation: FINRA
Jurisdiction: United States
Regulator Name: Financial Market Authority
Abbreviation: FMA
Jurisdiction: Austria
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: Canada
Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: France
Regulator Name: Financial Markets Authority
Abbreviation: FMA
Jurisdiction: New Zealand
Abbreviation: FSMA
Jurisdiction: Belgium
Abbreviation: SFC
Jurisdiction: Colombia
Abbreviation: FIN-FSA
Jurisdiction: Finland
Abbreviation: FME IS
Jurisdiction: Iceland
Abbreviation: FSA
Jurisdiction: Norway
Abbreviation: IOMFSA
Jurisdiction: Isle of Man
Abbreviation: JFSC
Jurisdiction: Jersey
Abbreviation: MFSA
Jurisdiction: Malta
Abbreviation: MSC
Jurisdiction: Canada
Abbreviation: MAS
Jurisdiction: Singapore
Abbreviation: CNBV
Jurisdiction: Mexico
Email: [email protected]
Abbreviation: NFA
Jurisdiction: United States
Abbreviation: CNV
Jurisdiction: Argentina
Abbreviation: OFAC
Jurisdiction: United States
Abbreviation: OCC
Jurisdiction: United States
Abbreviation: OSC
Jurisdiction: Canada
Abbreviation: CMVM
Jurisdiction: Portugal
Abbreviation: SEBI
Jurisdiction: India
Abbreviation: FSA
Jurisdiction: Japan
Abbreviation: SEC
Jurisdiction: United States
Abbreviation: SEC NG
Jurisdiction: Nigeria
Abbreviation: SEC TH
Jurisdiction: Thailand
Abbreviation: CVM
Jurisdiction: Brazil
Abbreviation: SFC
Jurisdiction: Hong Kong
Regulator Name: State Securities Commission
Abbreviation: SSC
Jurisdiction: Vietnam
Abbreviation: FI
Jurisdiction: Sweden
Abbreviation: FINMA
Jurisdiction: Switzerland
Abbreviation: UST
Jurisdiction: United States

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