securities firms? accounts were used with intent to build up trustworthiness.   The SEC thus warned investors to be cautious and choose services offered by the SEC-approved fund managers working for licensed

Bangkok, May 12, 2015 ? The SEC published 2014 Independent Audit Inspection Activities Report covering inspection of 12 audit firms and working papers of 46 approved capital market auditors. The

this year. The Capital Market Supervisory Board approved the revision of regulations concerning cross-border offerings of debt securities and CIS in line with ASEAN Capital Markets Forum (ACMF)?s

Police?s investigation and litigation at 0-2237-1199.Investors are strongly advised to consult the License Check page at www.sec.or.th to verify whether solicitors have been approved by the Minister of

suspended {A} from duty as an approved capital market investment consultant for a period of one year.In case of {B}, the SEC received a report from a securities company that she failed to record her two

SEC therefore revoked her status as an approved capital market investment consultant and banned her re-entry as capital market personnel for one year and three months. However, taking into account that

, 2012.  In this regard, the SEC suspended her from duty as an approved capital market investment consultant for a period of five months. Taking into account that she has already been suspended for two

must be approved by shareholders with at least three fourths of the shareholders attending the meeting and eligible to exercise voting rights; excluding the interested shareholders.  

audit firms of the SEC-approved auditors to allow OAG officers to observe their overseas branches. This collaboration will give OAG officers an opportunity to exchange knowledge and experiences on audit

financial institution regulated by the SEC, audit firm with the SEC approved auditor and the Stock Exchange of Thailand (SET) or its subsidiary whose shares are held by the SET at least 75%, business operator