matters: (1) business continuity management, as detailed in Part 1; (2) review, monitoring, and examination of computer systems relating to clearing, settlement, and depository services with respect to
the efficiency in operating system examination and in line with the international standards. Additionally, the revised regulations allow more flexibility for suitability test; for example, if tested by
Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the
SEC has received a tip from an investor that a Facebook account named “Japhoon” (meaning Catching Stocks) may operate business without obtaining a license from SEC. After further investigation of
/2022 and (3) the reviewed financial statements for Q3/2022. This case is in the process of investigation by the inquiry official. SEC Act S.56(1) Criminal Complaint Filed with an Inquiry Official
of the Stock Exchange of Thailand within the period specified in the notification. This case is in the process of investigation by the inquiry official. SEC Act S.300 in conjunction with 56(1
Bangkok, August 20, 2012 ? The SEC revealed that examination on quality assurance of audit firms showed satisfactory result after the issuance of regulation requiring all auditors of companies in the
in the investigation process. In addition, the administrative expenses had been increased as a result of a provision and an amortization of non- refundable deposits amounting to Baht 42.73 million due