MS Office
Patcharaporn Rungsithum
Assistant Director, SEC
Bangkok,Thailand
Summary
Highly motivated professional with a background in law and 8 years+ of experience in the Financial Service Industry. Advanced knowledge of capital market regulations in traditional securities and digital assets. Strong organizational and prioritization abilities. Keen business sense, with demonstrated ability to thrive in fast-paced, deadline-oriented environments.
Overview
8
8
years of professional experience
9
9
years of post-secondary education
3
3
Languages
Work History
Assistant Director, Corporate Finance 3 Department
Securities and Exchange Commission
02.2022 - Current
- Propose new rules and rule amendments relating to IPOs, ESOP, Warrant, Depositary receipt, listed company and financial advisor
- Provides interpretive assistance to companies with respect to the Securities and Exchange Act as well as SEC rules and forms regarding securities offering as well as rules governing listed company
- Evaluating the sufficiency and accuracy of the information disclosed to the public in accordance with governing laws and standards as well as approve the offering of depository receipt.
Assistant Director, Market Supervision Department
Securities and Exchange Commission
11.2021 - 02.2022
- Ensuring that business operators who are intermediaries for digital assets, namely, digital asset exchanges, digital asset brokers, and digital asset dealers comply or operate in conformity with regulatory and legal requirements set out by the SEC
- Provides interpretive assistance to digital asset businesses with respect to SEC rules and forms and makes recommendations to the Commission regarding new rules and revisions to existing rules
- Assessing and investigating complaints on suspicious activities of digital asset businesses
Senior Officer, Corporate Finance Department
Securities and Exchange Commission
07.2015 - 11.2021
- Evaluating companies’ financial and other information to make informed decision regarding the companies’ securities offering applications;
- Evaluating the sufficiency and accuracy of the information disclosed to the public in accordance with governing laws and standards to ensure that investors are provided with material information in order to make informed investment decisions;
- Provides interpretive assistance to companies with respect to SEC rules and forms and makes recommendations to the Commission regarding new rules and revisions to existing rules
- Monitoring listed company on an ongoing basis to help ensure full and fair disclosure of financial and other information including related party transactions as well as analyzing the appropriateness of valuation methods used in the transactions;
- Institute administrative proceedings, revoke or suspend registration, or impose bars against financial advisor assisting in the IPO filing preparation
- Assessing and investigating complaints on suspicious activities of companies undertaking an initial public offering as well as listed companies
- Participate in the regulatory reform project: assess, develope and modernize the framework of effective regulatory design and process, particularly for addressing conflicts of interest in equity and debt securities offerings in the IPO process
- Participate in the financial sector assessment program (FSAP) which is designed to evaluates the strength of a country's financial system and regulatory architecture: review the public offering regulation to ensure its alignment with the internationally recognized standards (IOSCO principle)
- Propose new rules and rule amendments relating to IPOs, ESOP, Warrant, Depositary receipt, listed company and financial advisor.
Officer, Securities Regulation Department
Securities and Exchange Commission
03.2014 - 07.2015
- Drafting regulations relating to capital raising including IPOs, auditors and Takeovers
- Providing lawyers, financial advisors and listed companies with legal advice relating to securities offering, takeovers and governance of publicly traded companies
- Conducting research on other countries’ securities regulation relating to Takeovers and Governance of publicly traded companies.
Education
Master of Laws (LL.M) - International Law with International Relations
University of Kent
Canterbury, UK 09.2012 - 09.2013
Master of Laws (LL.M) - Corporate Finance Law
University of Westminster
London, UK 09.2011 - 09.2012
Bachelor of Laws (LL.B) - Laws
Chulalongkorn University
Bangkok, Thailand 06.2006 - 03.2010
Diplomas - Advanced Corporate, Banking And Financial Services
Ramkhamhaeng University
06.2015 - 09.2015
High School Diploma -
Triamudom Suksa School
Bangkok, Thailand 05.2003 - 03.2006
Skills
Decision Making
Software
MS Office
Word, Excel, Outlook, Powerpoint, OneNote
Timeline
Assistant Director, Corporate Finance 3 Department
Securities and Exchange Commission
02.2022 - Current
Assistant Director, Market Supervision Department
Securities and Exchange Commission
11.2021 - 02.2022
Senior Officer, Corporate Finance Department
Securities and Exchange Commission
07.2015 - 11.2021
Diplomas - Advanced Corporate, Banking And Financial Services
Ramkhamhaeng University
06.2015 - 09.2015
Officer, Securities Regulation Department
Securities and Exchange Commission
03.2014 - 07.2015
Master of Laws (LL.M) - International Law with International Relations
University of Kent
09.2012 - 09.2013
Master of Laws (LL.M) - Corporate Finance Law
University of Westminster
09.2011 - 09.2012
Bachelor of Laws (LL.B) - Laws
Chulalongkorn University
06.2006 - 03.2010
High School Diploma -
Triamudom Suksa School
05.2003 - 03.2006
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