banned Ravi from holding the position of director or executive at any issuing or listed companies for one year.* ________________________________ *In compliance with the Notification of the Securities
advice on suitable products in compliance with standard of conducts;(3) Giving knowledge through activities and channels by preparing plan for financial literacy and investor potential for 2011-2013 which
ensure compliance with respective laws and developing capital markets of the two countries. The MoU, signed by SEC Secretary-General Vorapol Socatiyanurak and SECC Director General Ming Bankosal, aims at
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
company's management and monitoring on personnel systems did not comply with professional standards. In this regard, the SEC warned KPMG Phoomchai Business Advisory Ltd. to emphasize on compliance with
สำคัญ หรือมีข้อพิพาททางกฎหมาย (3) การพิจารณาคุณสมบัติของผู้ทำหน้าที่หัวหน้างานตรวจสอบภายใน ข้อมูลเลขานุการบริษัท และข้อมูลของหัวหน้างานกำกับดูแลการปฏิบัติงานของบริษัท (compliance officer) ทั้งนี้ บริษัท
Bangkok, January 26, 2016 ? The SEC has revised several regulations concerning investment policies of mutual funds and provident funds (PVD) to enhance flexibility and compliance with international
Compliance, Inspections, and Examinations (OCIE) to share their experience with more than 200 capital market personnel from the SEC, the Stock Exchange of Thailand and securities companies on programmatic and
financial statements considering the company?s 2010 financial statements not in compliance with the generally accepted accounting principles. The company did not arrange the assessment of value and quantity