Thailand
SEC TH
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 TH
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 TH
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 TH
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 TH
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
Regulator Name: Australian Securities and Investments Commission
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Regulator Name: China Securities Regulatory Commission
Abbreviation: CSRC
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Abbreviation: CNMV ES
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Abbreviation: CSSF
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Abbreviation: CFTC
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Abbreviation: CFPB
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Abbreviation: HANFA
Jurisdiction: Croatia
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Abbreviation: CySEC
Jurisdiction: Cyprus
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Regulator Name: Danish Financial Services Authority
Abbreviation: DFSA
Jurisdiction: Denmark
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Abbreviation: AFM
Jurisdiction: Netherlands
Website: http://www.afm.nl/en/
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Regulator Name: European Banking Authority
Abbreviation: EBA
Jurisdiction: Supranational
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Jurisdiction: Supranational
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Jurisdiction: Canada
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Abbreviation: FCA
Jurisdiction: United Kingdom
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Abbreviation: FinCEN
Jurisdiction: United States
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Regulator Name: Financial Industry Regulatory Authority
Abbreviation: FINRA
Jurisdiction: United States
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Regulator Name: Financial Market Authority
Abbreviation: FMA
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Regulator Name: Financial Markets Authority
Abbreviation: AMF
Jurisdiction: France
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Regulator Name: Financial Markets Authority
Abbreviation: FMA
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Regulator Name: Financial Services and Markets Authority
Abbreviation: FSMA
Jurisdiction: Belgium
Website: https://www.fsma.be/en/
Regulator Name: Financial Supervision of Colombia
Abbreviation: SFC
Jurisdiction: Colombia
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Regulator Name: Financial Supervisory Authority
Abbreviation: FIN-FSA
Jurisdiction: Finland
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Regulator Name: Financial Supervisory Authority
Abbreviation: FME IS
Jurisdiction: Iceland
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Regulator Name: Financial Supervisory Authority of Norway
Abbreviation: FSA
Jurisdiction: Norway
Website: http://www.finanstilsynet.no/en/
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Regulator Name: Guernsey Financial Services Commission
Abbreviation: GFSC
Jurisdiction: Guernsey
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Regulator Name: International Organization of Securities Commissions
Abbreviation: IOSCO
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Regulator Name: Investment Industry Regulatory Organization of Canada
Abbreviation: IIROC
Jurisdiction: Canada
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Regulator Name: Isle of Man Financial Services Authority
Abbreviation: IOMFSA
Jurisdiction: Isle of Man
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Regulator Name: Israel Securities Authority
Abbreviation: ISA
Jurisdiction: Israel
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Regulator Name: Jersey Financial Services Commission
Abbreviation: JFSC
Jurisdiction: Jersey
Website: http://www.jerseyfsc.org/
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Regulator Name: Malta Financial Services Authority
Abbreviation: MFSA
Jurisdiction: Malta
Website: http://www.mfsa.com.mt/
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Regulator Name: Manitoba Securities Commission
Abbreviation: MSC
Jurisdiction: Canada
Website: https://mbsecurities.ca/
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Regulator Name: Monetary Authority of Singapore
Abbreviation: MAS
Jurisdiction: Singapore
Website: http://www.mas.gov.sg/
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Regulator Name: National Commission for Banks and Securities
Abbreviation: CNBV
Jurisdiction: Mexico
Email: [email protected].gob.mx
Regulator Name: National Commission for Companies and the Stock Exchange
Abbreviation: CONSOB
Jurisdiction: Italy
Email: [email protected]
Regulator Name: National Futures Association
Abbreviation: NFA
Jurisdiction: United States
Email: [email protected]
Regulator Name: National Securities Commission
Abbreviation: CNV
Jurisdiction: Argentina
Website: https://www.argentina.gob.ar/cnv/
Email: [email protected]
Regulator Name: Office of Foreign Assets Control
Abbreviation: OFAC
Jurisdiction: United States
Website: https://home.treasury.gov/
Email: [email protected]
Regulator Name: Office of the Comptroller of the Currency
Abbreviation: OCC
Jurisdiction: United States
Website: http://www.occ.gov/
Email: [email protected]
Regulator Name: Ontario Securities Commission
Abbreviation: OSC
Jurisdiction: Canada
Website: https://www.osc.gov.on.ca/
Email: [email protected]
Regulator Name: Portuguese Securities Market Commission
Abbreviation: CMVM
Jurisdiction: Portugal
Email: [email protected]
Regulator Name: Securities and Exchange Board of India
Abbreviation: SEBI
Jurisdiction: India
Website: https://www.sebi.gov.in/
Email: [email protected]
Regulator Name: Securities and Exchange Commission
Abbreviation: FSA
Jurisdiction: Japan
Website: http://www.fsa.go.jp/en/
Email: [email protected]
Regulator Name: Securities and Exchange Commission
Abbreviation: SEC
Jurisdiction: United States
Website: http://www.sec.gov/
Email: [email protected]
Regulator Name: Securities and Exchange Commission
Abbreviation: SEC NG
Jurisdiction: Nigeria
Website: https://sec.gov.ng/
Email: [email protected]
Regulator Name: Securities and Exchange Commission
Abbreviation: SEC TH
Jurisdiction: Thailand
Website: https://www.sec.or.th/EN
Email: [email protected]
Regulator Name: Securities and Exchange Commission of Brazil
Abbreviation: CVM
Jurisdiction: Brazil
Website: https://www.gov.br/cvm/pt-br/
Email: [email protected]
Regulator Name: Securities and Futures Commission
Abbreviation: SFC
Jurisdiction: Hong Kong
Website: http://www.sfc.hk/web/EN/index.html/
Email: [email protected]
Regulator Name: State Securities Commission
Abbreviation: SSC
Jurisdiction: Vietnam
Website: http://www.ssc.gov.vn/
Email: [email protected]
Regulator Name: Swedish Financial Supervisory Authority
Abbreviation: FI
Jurisdiction: Sweden
Website: https://www.fi.se/en/
Email: [email protected]
Regulator Name: Swiss Financial Market Supervisory Authority
Abbreviation: FINMA
Jurisdiction: Switzerland
Email: [email protected]
Regulator Name: US Department of the Treasury
Abbreviation: UST
Jurisdiction: United States
Email: [email protected]
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