important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
This proposed amendment to the regulations on qualifications of capital market auditors aims to facilitate capable auditors’ entry into the capital market to perform audit work and to streamline supervisory rules that could impose excessive burdens on auditors. This regulatory revision would therefore attract sufficient qualified auditors into the capital market to serve the increasing number of listed companies while maintaining audit quality in line with international standards. The essence of...
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned
Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment
on principles to laying out the framework of related rules to allow a business operator to apply for SEC’s approval and represent itself as wealth advisor to interested persons.Rules regarding
and authorized director Mr. Arak Ratborihan on account of offering for sale of newly issued shares for a private placement without obtaining a prior approval from the SEC.According to the SEC's further
On 3 August 2023, the SEC Board Meeting No. 12/2023 passed a resolution approving the principles and draft regulations related to application for approval and granting of approval for derivatives
Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing