Securities and Exchange Commission Thailand


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SEC News Release

No. 1/2012

Wednesday, January 4, 2012


SEC furthers capital market role in economic growth and regional leadership

Bangkok, January 4, 2012 The SEC announced today the Strategic Plan 2012 accentuating the capital markets role as a key driver of economic growth and regional leadership in preparation for the ASEAN Economic Community which is scheduled for launch in 2015. 

Over the past year, substantial progress was made in the targeted areas of (1) regional competitiveness and linkage, (2) product and service innovation, (3) regulatory reform and enforcement, (4) financial literacy promotion, and (5) organizational efficiency.

To further the 2011 efforts, the SEC blueprint lays out five key strategies to implement or further enhance throughout the year, namely: (1) to increase the capital markets role in developing the economy and strengthening Thailands leadership in the region; (2) to encourage growth-stimulating competition and enhance stakeholder competitiveness; (3) to protect investor rights and maintain market confidence; (4) to establish robust operational and risk management systems; and (5) to expand investor base and create favorable capital market environment for the growing elderly population.

In pursuing the strategic goals, the SEC is placing a greater importance on proactive communication, stakeholder relations and organizational efficiency, specifically in the areas of human resources development, information management and financial administration. 

In addition, the SEC is playing a more aggressive role in developing the market, supervising intermediaries and establishing effective communication with stakeholders under the 4Ps Principle which consists of the following attributes:    

Proactive: forward-thinking and acting in advance in anticipation of possible challenges while being a firm and fair regulator as well as a friendly and visionary partner to all sectors, and initiating interactive communication forums with market participants to encourage information/view sharing and team-based problem solving;
Preventive: setting a healthy balance between punitive and preventive approaches to ensure prompt actions against violations without imposing unnecessary and burdensome rules upon abiding entities;
Promotion: presenting the Thai capital market as a robust venue of choice for fund mobilization for businesses of all sizes while promoting financial and investment education for the public;
Premier: establishing the SEC brand as a world-class regulatory agency driven by experienced professionals and new generation teamwork and encouraging market participants to strive for internationally recognized self-regulatory status. 

In implementing the 4Ps Principle and moving toward the strategic goals in line with the Capital Market Development Master Plan (more details at, the SEC simultaneously launched on January 1 the organizational restructuring. The new structure is designed to meet the following objectives: 

(1)   To create a proactive working environment and centralize international affairs to promote the Thai markets regional connectivity and leadership; 
(2)   To expedite promotion of financial literacy in line with the governments national savings promotion strategy; 
(3)   To categorize corporate finance supervision based on types of securities to support strategic fund mobilization and accommodate new product launches;
(4)   To divide intermediary supervisory units with separate focuses on development and inspection;
(5)   To set out rulemaking guidelines that will not impose unnecessary burdens on business sectors and develop international standard regulations; and
(6)   To expand interactive communication channels with stakeholders and promote their contribution to market development. 

The 4Ps Principle and corporate restructuring are further steps to improve our operation and prepare the SEC for the increasingly challenging global market environment. This year we are also celebrating the 20th anniversary and rebranding the SEC identity as a modern regulator and a visionary partner while staying committed to our working philosophy of efficiency, fairness, transparency and integrity to achieve our goals and strengthen stakeholders confidence, said SEC Secretary-General Vorapol Socatiyanurak.

To visually set off the rebranding campaign, the SEC has launched a new corporate logo symbolizing a friendly and modern identity:

1) The blue font represents a trustworthy national institution, a key pillar for promoting economic growth; 2) The dark green horizontal line represents justice, balance, and recognized standards and 3) The light green upward curve encapsulating the dark green circle represents attentive and cooperative energy to empower the efforts of the SEC and stakeholders in developing robust and internationally competitive capital market.  

Also as part of the two decades celebration the SEC was found on May 16, 1992 a series of educational, industry and corporate social responsibility events such as international conference and public seminar will be organized throughout the year, starting off with the Window of Opportunity Booth at BOI Fair, in cooperation with the Stock Exchange of Thailand and the Investment Banking Club (IB Club).

The joint campaign features a seminar on How to Boost Business Growth through Capital Market and free advice on fundraising, listing, debt restructuring, merger and acquisition, and funding alternatives. The BOI Fair runs from January 5 to 13 at Impact Muang Thong Thani. 


The Securities and Exchange Commission, Thailand
333/3 Vibhavadi-Rangsit Road, Chomphon , Chatuchak Bangkok 10900, Thailand
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