SEC Secretary-General Ruenvadee Suwanmongkol said that SEC and the related agencies had discussed the COVID-19 situation and acknowledged limitations on the AGM holding of listed companies. The meeting concluded with primary suggestions as follows: (1) proxy voting: shareholders are advised to consider proxy voting through independent directors instead of in-person voting at the meeting. If the meeting’s notice has not been sent, listed companies are requested to inform s...
to bringing prosperity and growth to Thai capital market and Kunming City in the future,? said Mr. Vorapol. Possible areas for collaboration were discussed including use of the Thai capital market as
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
requirements to avoid possible disputes or frauds committed upon their assets, said SEC Deputy Secretary-General Vasant Thienhom. Failure to keep complete and correct records of clients? orders are deemed non
express and did not express opinion on such financial statements indicating that the records of allowances for possible losses on collection of short-term loan to subsidiary and trade accounts receivables
, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the
Case of Possible Impact on the Holding of Juristic Person’s Meeting B.E. 2563 (2020), dated 4 March 2020,
-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and reporting of suspicious transactions. The policy mentioned in