an employer is no longer able to continue the PVD plan, the asset management company managing such PVD must ensure that the employees receive full benefits within the period specified by law and

The Securities and Exchange Commission (SEC) participated in a seminar organized by the United Nations Development Programme (UNDP) to elevate Human Rights Due Diligence (HRDD). On behalf of the

Earlier, {X1} had under recorded its liabilities for short-term bills of exchange (B/E) in the annual financial statements for the financial year 2015. The SEC then reviewed the work of {X1}’s auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has therefore suspended the approval for {A} as a capital market auditor for six months, starting from 19 Jan...

responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board

due diligence checklist before investing in complex financial products to promote business standard and competitiveness. SEC Secretary-General Vorapol Socatiyanurak said that the SEC approved the AIMC?s

The action follows the revocation of Renaissance FMC’s securities business and derivatives business licenses due to conduct demonstrating a lack of credibility, operational readiness, and serious

The Securities and Exchange Commission (SEC), in collaboration with the Faculty of Law, Chulalongkorn University, organized a workshop on Human Rights Due Diligence (HRDD) under the Business and

and Human Rights Due Diligence in Europe and Asia”  หัวข้อ “Implications of Environment and Human Rights Due Diligence for Asia Business” จัดโดย  the United Nations Development Programme (UNDP) และ

According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription transactions as originally intended by the investors in the following business day. Instead, he spent the sub...