for one year from September 22, 2011. The order has been issued after the SEC?s finding indicated his audit mistakes and failure to comply with the auditing standards in peforming the audit of Nippon
request for repayment from assets of the foreign banks; or the foreign banks may draw profit or capital from their branches. In addition, the issuing branches are required to furnish and disclose credit
proposed for shareholders? approval, shareholders should seek further clarifications from the company and board of directors for insightful decision-making.Shareholders and investors can find the relevant
), private equity trust and ASEAN CIS. Therefore, banks and their subsidiaries could seek business opportunities and expand customer base from providing financial advisory services or becoming DR
abettors, for manipulating share price of Rich Asia Steel Plc. (RICH). With the referral from the Stock Exchange of Thailand (SET) on irregular trading of RICH shares by a group of persons, the SEC probed
effective from June 16, 2013.Vorapol Socatiyanurak, SEC Secretary-General said: ?The revised outsourcing rules will allow securities and derivatives business operators to outsource activities directly
Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc. Following the report from
the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was
Thai Unique Coil Center Plc. (TUCC) shares. The filing of criminal complaint resulted from their failure to pay the fines imposed by the Settlement Committee, causing the criminal case to be unsettled.In
Workshop was joined by representatives from nine audit regulators, comprising Malaysia?s Audit Oversight Board (AOB), Singapore?s Accounting and Corporate Regulatory Authority (ACRA), SEC Cambodia, Laos