of their assets. The SEC, therefore, filed the petition with the Criminal Court for consideration of the extension of the asset attachment period, involving nine entities, namely: the entities from
. VTE later submitted to the SEC the letter requesting extension of period for submitting such financial statements. The request was made on the ground that the independent financial advisor is in process
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due Diligence (KYC/CDD) as well as client activity oversight systems. Additionally, the SEC is in the process of submitting the? case for consideration of the Criminal Fining Committee.During a routine inspection of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its clien...
Bangkok, June 23, 2011 - The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from performing duty as an executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodge...
Bangkok, March 22, 2013 - The SEC rejected to grant further extension of deadline for Thai Unique Coil Center Plc. (TUCC) to submit its rectified Q2 and Q3/2012 financial statements as well as 2012
, increasingly emphasize the importance of audit quality factor in the selection of auditors. Qualitative information in the firm inspection report is thus very useful for the selection process. In addition, the
Bangkok, June 23, 2011- The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from acting as an executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated his fraud commission, embezzlement, falsying documents with the intention to illegitimately seek benefits from client?s assets. Following the complaint filed by...
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
value of the investment in the shares of the buyer*.NRF later made a request for an extension of submission deadline of its rectified interim financial statements for the third quarter of 2024 because NRF
rectification must be disclosed publicly via the SETLink Electronic System by 10 February 2025*.EE later made a request for an extension of submission deadline of its rectified financial statements for the