information and listed company executives? duty performance without due care, resulting in the total 31-million-baht civil penalty and the total 19.6-million-baht compensation for the equal amount of benefits
unprofessional performance of duties in contravention of the Notification of the Capital Market Supervisory Board. The SEC has therefore imposed a 12-month suspension as a capital market investment consultant
Live Chat on the SEC web site.______________________*Remark: The SEC neither certifies investment products nor guarantees returns on investment or operating performance of business operators.
. Auditing performance by YNP?s auditor -Somchai Kurijitkosol of SK Accountant Services Co., Ltd., was then brought under the SEC?s investigation where Somchai?s serious audit mistake and non-compliance with
Notification concerning financial advisor approval and scope of performance which specifies that financial advisor supervisor must be responsible and perform duties with prudence and care in compliance with laws
aspects of sustainable development which are 1) CG in substance: building up sound business performance with sustainability and trustworthiness by emphasizing on actual practice such as encouraging
trade securities in the client's account without permission in order to achieve better performance. {A}'s actions are in violation of Clause 20(1) and 20(2) of the Notification of Capital Market
risk reports and mutual funds? performance to the board of directors on a regular basis.In this connection, the asset management companies must fill in the due diligence checklist before investing in or
monitoring listed companies? performance, the SEC did not grant further extension of deadlines for AIE and AI as requested. In this regard, AIE and AI must submit the said financial statements urgently. For