Diligence (KYC/CDD) and credit line review practices, particularly for those clients who have traded securities under cash balance rule or inappropriately transferred their securities to raise credit limits

directly relevant to its core business, for example, preparation of research report, risk management or mutual fund and private fund management which must be in compliance with specified conditions. For

Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the

Bangkok, February 13, 2015 ? The SEC organized the seminar ?Challenges of audit committees in reviewing financial and non-financial information? to provide a venue for discussion and exchange views

-appointed to the position for another term.

help ease procedures for approval and renewal of approval which is expected to result in increasing number of personnel to be sufficient for market demand.The revised regulations require investor contact

. The SEC therefore reviewed Ms. Sulalit’s audit work performed for Renaissance FMC and found that she had seriously failed to comply with auditing standards. The deficiencies included: Failure

Superblock Public Company Limited Superblock Public Company Limited (“SUPER”), a securities issuer, failed to prepare and submit the audited financial statements for the year 2015 to the Stock

Tapaco Public Company Limited Tapaco Public Company Limited (“TAPACO”) had a duty to prepare and submit the financial statement for the year 2022 within 3 January 2023. However, TAPACO prepared and

outside its office for the products listed on the Stock Exchange of Thailand, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.98 (6