Wednesday September 19, 2018 12:35

THE SECURITIES AND EXCHANGE COMMISSION Press Releases

Photo Release: KBank is ready to offer Wealth Advisor service via K-My Funds under SECs 5 Steps toward Investment with Confidence guidelines Stcoks—12 Sep 18

At IMAX Quartier CineArt, The EmQuartier shopping complex, KBank, KAsset and KSecurities recently received plaques from the Securities and Exchange Commission, Thailand (SEC) and announced their readiness to offer the Wealth Advisor service to help the

Early Growth Opportunity with $6M Reg D Investor Round General—10 May 18

SUNNYVALE, California--10 May--PRNewswire/InfoQuest

Dubuc Motors, Inc., an early stage electric car company developing high end luxury sport vehicles, announced today that it has launched a private investment round under Rule 506(c) of Regulation D promulgated by the Securities and Exchange Commission under the Securities Act of 1933, as amended (the "Securities Act").

This offering responds to repeated shareholder requests for an opportunity to participate in the Company's financings on similar terms as institutional investors, receiving such requests following their recent Reg A+ financing. Dubuc Motors welcomed an aggregate of over 750 new shareholders in their previous round and counts more than 800 total investors to date. This new Reg D offering is expected to involve both existing and new investors, allowing for those who did not have the opportunity to participate in earlier rounds.

This $6M Reg D round will materialize the final steps required to complete the production model and spring the company's next milestones, which includes a planned Reg A+ IPO. The raise represents a distribution of 3,000,000 shares at a $2 consideration prior to the Company's anticipated listing.

This Regulation D Offering is for accredited investors only, who can expe

SET initiates Capital Market Innovation Awards 2018 in search of capital markets top Stcoks—24 Apr 18

The Stock Exchange of Thailand (SET), jointly with The Securities and Exchange Commission (SEC), Association of Thai Securities Companies (ASCO), Association of Investment Management Companies (AIMC) and Thai Listed Companies Association (TLCA), has

Photo Release: Thai and Myanmar regulators sign MOU for cooperation and exchange of Stcoks—19 Oct 17

SEC Secretary-General Rapee Sucharitakul (seated, 3rd from right) and the Securities and Exchange Commission of Myanmar Chairman U Maung Maung Win (seated, center) signed a Memorandum of Understanding (MOU) for mutual cooperation and exchange of

Photo Release: SEC welcomes visitors from Myanmar capital market Stcoks—05 May 17

SEC Secretary-General Rapee Sucharitakul welcomed Mr. U Htay Chunm (7th from right), Commission Member of the Securities and Exchange Commission of Myanmar (SECM), representatives from Yangon Stock Exchange (YSX) and executives from securities firms and

Photo Release: Bangkok Bank receives three Excellence Awards for 2017 from the Finance Ministry and Stcoks—08 Mar 17

Bangkok Bank Executive Vice-President Sa-Ard Theerarojanawong (4th from left) and members of the Bank's treasury team accepted awards from the Secretary-General of the Securities and Exchange Commission Rapee Sucharitkul (4th from right) during the

Photo Release: SEC visits Myanmar to promote capital market cooperation Stcoks—02 Dec 16

SEC Secretary-General Rapee Sucharitakul led the management of the Thai SEC and the Stock Exchange of Thailand to pay a visit to Chairman U Maung Maung Win and the management of the Office of the Securities and Exchange Commission of Myanmar to further

Thai bourse first launches mutual fund roadshow in Japan Stcoks—16 Sep 16

The Stock Exchange of Thailand (SET), The Securities and Exchange Commission (SEC) and Association of Investment Management Companies (AIMC) will organize the first "Thailand-Japan Fund Roadshow", at Tokyo Stock Exchange, Japan on September 16, 2016,

Thailand#s Securities and Exchange Commission steps up protection for retail Stcoks—26 Aug 16

The Securities and Exchange Commission (SEC) is stepping up measures to protect retail investors by supervising the process of cross-selling securities and debt instrument products at bank branches and requiring mutual fund companies to install board

Thailand#s SEC wants change in SET board Stcoks—29 Jul 16

The Securities and Exchange Commission has proposed adding independent members to the Stock Exchange of Thailand's board of governors. Under the SEC's proposal, the SET would have no shareholders, said SEC secretary-general Rapee

SEC: Citigroup provided incomplete blue sheet data for 15 years Stcoks—12 Jul 16

Washington D.C., -- The Securities and Exchange Commission today announced that Citigroup Global Markets has agreed to pay a $7 million penalty and admit wrongdoing to settle charges that a computer coding error caused the firm to provide the agency with

Photo Release: Inside information management seminar Stcoks—29 Jun 16

The Securities and Exchange Commission (SEC) together with the Stock Exchange of Thailand (SET) and the Thai Listed Companies Association (TLCA) organized a seminar on "Inside Information Management Tips for Listed Company Executives" to update capital

Thai IOD Statement on Corporate governance of listed companies directors General—13 May 16

Since late last year there has been a marked increase in the number of cases where directors and executives of listed companies were found guilty and fined by the Securities and Exchange Commission (SEC) for charges relating to asset malpractices.

Photo Release: ASEAN capital market regulators roll out initiatives under ACMFs new five-year Stcoks—11 Apr 16

The Securities and Exchange Commission hosted the ASEAN Capital Markets Forum (ACMF) which 10 member countries approved the five-year ACMF Action Plan (2016 – 2020) in building capacity building for members and to further engage domestic and

ASEAN capital market regulators roll out initiatives under ACMFs new 5-year Stcoks—11 Apr 16

The ASEAN Capital Markets Forum (ACMF) today approved the ACMF Annual Implementation Plan 2016 (Annual Plan 2016), which sets out ACMF's immediate priorities for the year, during its 24th meeting hosted by the Securities and Exchange Commission,

Thai bourse joins SEC and mutual fund participants to launch new fund service Stcoks—15 Mar 16

The Stock Exchange of Thailand (SET) has signed a memorandum of understanding (MOU) with The Securities and Exchange Commission (SEC) and alliances in Thailand's mutual fund industry. The MOU is aimed at establishing standards across end-to-end processes

Thai bourse and SEC to launch Digital IPO,one-stop digital listing service from Jan Stcoks—21 Jan 16

The Stock Exchange of Thailand (SET), jointly with The Securities and Exchange Commission (SEC), will launch digital listing services (Digital IPO), enabling all new securities (IPO, IFF, REIT, and ETF) to be listed via electronic system, starting from

Photo Release: SEC awarded outstanding booth at SET in the City 2015 Stcoks—13 Jan 16

The Securities and Exchange Commission (SEC) was awarded an outstanding booth in providing service and advice according to the survey of investors and shareholders participating in the SET in the City 2015 in November last year, by the Stock Exchange of

Photo Release: Thai listed companies sweep ASEAN CG awards Stcoks—17 Nov 15

(from right) Mr. Rapee Sucharitakul, Secretary-General of the Securities and Exchange Commission, Thailand, Mr. Sarjito, Deputy Commissioner of Indonesia Financial Services Authority, Mr. Paul Yuen, Executive Director of Market Conduct Department of

Photo Release: Boosting corporate governance in the Thai capital market Stcoks—11 Nov 15

(From left) Rapee Sucharitakul, Secretary-General of the Securities and Exchange Commission, Thailand, Mats Isaksson, Head of Corporate Affairs of the Organisation for Economic Co-operation and Development (OECD) andKesara Manchusree, President of the

Photo Release: SEC awarded carbon neutral role model Stcoks—29 Sep 15

Chalee Chantanayingyong (left), Deputy Secretary-General, the Securities and Exchange Commission (SEC) received a carbon neutral certificate from General Surasak Karnjanarat, Minister of Natural Resources and Environment of Thailand. The SEC is

Photo Release: The SEC joined Active Citizen Against Corruption Stcoks—08 Sep 15

The Securities and Exchange Commission (SEC) in "Join Force to Anti-Corruption 2015: "Active Citizen Against Corruption" with members of Anti-Corruption Organization of Thailand from public and private sectors on September 6, 2015 at the Centara Grand at

Statement from Thai capital market organizations on Bangkoks blast Stcoks—20 Aug 15

The Securities and Exchange Commission (SEC), together with The Stock Exchange of Thailand (SET), Federation of Thai Capital Market Organizations (FETCO), Association of Investment Management Companies (AIMC) and Thai Listed Companies Association, would

Bentley Confidentially Submits Registration Statement with the Securities and Exchange Commission General—08 Jul 15

Bentley Systems, Incorporated today announced that it has confidentially submitted a draft registration statement with the Securities and Exchange Commission (SEC) to conduct an initial public offering of its Class B common stock. The offering is

Photo Release: SEC-FAP co-organize the 2nd Capital Market Auditors Stcoks—25 Jun 15

Rapee Sucharitakul, Secretary-General of the Securities and Exchange Commission, Thailand (SEC) gave an opening remark at the "2nd Capital Market Auditors" project co-organized by the SEC and the Federation of Accounting Professions under His Majesty The

Photo Release: SEC enhances CFO proficiency Stcoks—10 Apr 15

Vorapol Socatiyanurak, Secretary-General of the Securities and Exchange Commission, Thailand gave an opening speech at the seminar on “CFO in the new financial world” to raise awareness among chief financial officers (CFOs)’ on the

Photo Release: SEC opens SEC Capital Market Knowledge Center Stcoks—07 Apr 15

Vorapol Socatiyanurak, Secretary-General of the Securities and Exchange Commission, Thailand (SEC) presided over the opening ceremony of SEC Capital Market Knowledge Center, a comprehensive source of financial and investment information along with

Malaysia, Singapore and Thailand to implement a streamlined review framework for applications to Stcoks—06 Mar 15

The ASEAN Capital Markets Forum (ACMF) announced that the Securities Commission Malaysia, the Monetary Authority of Singapore (MAS), the Securities and Exchange Commission, Thailand (SEC) and the Singapore Exchange (SGX) have signed a Memorandum of

Photo Release: Thailand- Malaysia- Singapore to implement a streamlined review framework for Stcoks—06 Mar 15

(from left) Tipsuda Thavaramara, Deputy Secretary-General of the Securities and Exchange Commission of Thailand, Datuk Ranjit Ajit Singh, Chairman of the Securities Commission Malaysia (SC), Lee Boon Ngiap, Assistant Managing Director (Capital Markets)

Photo Release: SEC-FAP Capital Market Auditors certification ceremony Stcoks—19 Feb 15

Vorapol Socatiyanurak, Secretary-General of the Securities and Exchange Commission, Thailand (SEC) awarded 32 attendance certificates to those completed a training course of "Capital Market Auditors" project co-organized by the SEC and the Federation of